How RFG’s end-to-end transition infrastructure helped one Advisor make a high-risk move with zero data and $120M in transitioned assets in just 90 days.
Leaving a captive firm is one thing. Taking the step into independence, even without client data in hand, can feel like another.
For this Advisor, the decision wasn’t about what he was leaving behind, but what he was building ahead. Guided by a clear vision, determination, and the confidence that ownership was worth it, he began shaping a business designed to last. The goal wasn’t just independence; it was ownership, legacy, and a business built on his terms.
The challenges were clear: navigating client communication, ensuring compliance, all while maintaining a thin margin for error. But with RFG Advisory as his transition partner, he wasn’t navigating it alone. RFG’s transition model included weekly one-on-one planning calls, employment agreement legal review, public data sourcing when CRM access wasn’t allowed, and custom-built client outreach templates, all designed to let the Advisor stay focused on conversations, not logistics. In 90 days, $120 million in assets had transitioned. Not by chance, but by design.
When the Stakes Are Personal
Leaving a captive firm is one thing. Taking the step into independence, even without client data in hand, can feel like another.
The Advisor’s biggest concern wasn’t whether he could build something new. It was whether his clients would trust him enough to follow.
Would they be confused by the change? Would the lack of communication from his old firm raise doubts? Would reaching out even be allowed?
The transition required precision and care, with each step designed to stay compliant while keeping the Advisor’s goals and client relationships front and center.
Still, his vision was clear: he was ready to stop building someone else’s enterprise value and finally take the first step toward creating a business and a future he could truly call his own.
Finding the Right Partner
This Advisor wasn’t looking for a surface-level partner or a generic playbook; he needed infrastructure, a team that could move fast without missing a detail, and a system designed to offer both legal protection and a streamlined rebuild. Most of all, he needed a partner who’d done this before. That is what set RFG Advisory apart.
From the start, RFG delivered a full-scale transition framework tailored to high-risk, high-stakes departures. With a dedicated in-house transition consultant, integrated legal review, and a clear path forward, the Advisor knew he had found a team shaping the future of wealth management.
“RFG offers something most firms don’t: hands-on support through every single step. Knowing they had my back made all the difference,” the Advisor said.
Day 60: Proof that the Right Plan Works
The transition didn’t begin with a CRM export. It began with a legal review, a blank spreadsheet, and a whiteboard filled with names.
Without email lists, account numbers, or files to upload, the Advisor relied on memory: names, cities, states, and long-standing relationships built over the course of a career. It wasn’t much, but with the right strategy and support, it was enough.
RFG’s in-house transition consultant immediately activated RFG’s Transition Playbook, outlining each step from data mapping to form preparation, and used public data research tools to help prioritize outreach without violating non-solicit terms.
“As part of our due diligence process, we provide a full legal review with counsel that is highly experienced in Advisor transitions, so the Advisor understands their specific restrictions and obligations,” explained Kristy Puckett, RFG’s National Director of Business Development. “That allows us to plan ahead and map out clear, compliant steps for the transition.”
Weekly meetings served as both a check-in and a command center for prioritizing outreach, reviewing progress, and addressing each new question as it came up.
RFG’s in-house operations team took full ownership of backend workflows to:
- Complete all client paperwork and account opening forms
- Build FINRA- and SEC-compliant communication templates
- Manage custodial coordination and submission tracking
- Flag and resolve issues without burdening the Advisor
By day 60, $100 million in assets had already transitioned, a clear sign that the strategy was sound, the plan was working, and the foundation for future growth was already taking shape.
Day 90: From Momentum to Measurable Results
The move didn’t hinge on speed alone; it depended on trust, alignment, and flawless execution.
Once the strategy was in motion, the Advisor stayed focused on reconnecting with clients, while RFG’s transition team mapped outreach workflows, processed paperwork and custodial submissions, and handled the details.
When challenges surfaced, RFG responded in real time: Within hours, RFG created a custom digital intake form tailored to this Advisor’s legal constraints, accelerating client onboarding even without access to original records. Meanwhile, website updates were fast-tracked to help clients understand not just where he’d gone, but why.
“This was a textbook example of what happens when an advisor trusts the process,” said Shane Weaver, Senior Director of Operations at RFG. “Every piece fell into place because of total focus and collaboration.”
In just 90 days, $120M in assets had transitioned. The key to success? Every call, every form, and every custodial step was part of a system intentionally designed to deliver under pressure.
This wasn’t luck. It was the result of a proven transition process executed by a team that knows how to manage complex transitions without disrupting client trust or derailing momentum.
The Right Transition Partner Can Make all the Difference
This transition wasn’t the end of a chapter; it was the start of something enduring.
With full ownership of his business and a foundation built for scale, the Advisor is now focused on what comes next: sustainable growth, deeper client relationships, and long-term enterprise value. Today, every decision he makes moves his business forward, on his terms.
And while most firms talk about independence, few have the infrastructure to make it real. RFG does. With the right strategy, the right systems, and the right partner, complex transitions can become launchpads for the future.
What would you build if nothing were holding you back?
At RFG, we provide the infrastructure and the team to help you take that first step and every step after. Whether you’re moving from a wirehouse, broker-dealer, or another RIA, RFG’s transition model is built to help Advisors launch fast, clean, while remaining in complete control.
You’ll get:
- A dedicated in-house transition consultant to guide every step
- Comprehensive legal review of your employment agreement and communication rights
- Custom-built client communication scripts and intake forms
- Full operational support, including paperwork prep, tracking, and submission
- Hands-on data sourcing and prioritization
- Full-scale branding, website, and communication support to reflect your move and story
- Weekly transition strategy calls to keep momentum high and compliance intact
If you’re ready to lead your business your way, we’re ready to partner with you. Click here to learn more about how we can help bring your vision to life.