Questions to ask
Book Ownership.
Client Relationship Ownership
Clarify who owns the client relationship: advisor, firm, bank, OSJ, RIA, or enterprise.
Watch 3-Min Guide →
Rep Code / Advisor of Record
Understand who is listed on accounts, who controls servicing rights, and how rep code changes work.
Watch 3-Min Guide →
Portability Rights
Determine whether clients and accounts can move with you later and what restrictions may apply.
Watch 3-Min Guide →
Succession Rights
Review whether you can sell, merge, sunset, or transition the book to a successor of your choice.
Watch 3-Min Guide →
Non-Solicit / Restrictions
Pressure-test protocol, non-solicit, non-compete, garden leave, client contact limits, and resignation rules.
Watch 3-Min Guide →
Enterprise / OSJ Control
Identify whether an OSJ, branch, enterprise, or platform has approval rights over your book or revenue.
Watch 3-Min Guide →
Book Valuation Impact
See how ownership rights affect enterprise value, buyer pool, financing, and valuation multiple.
Watch 3-Min Guide →
Client Data & Records
Clarify who controls CRM notes, client files, planning data, emails, documents, and account history.
Watch 3-Min Guide →
Advisor transition tools
Monetize, Stay, or Sell.
Use calculators, comparison tools, and due-diligence questions to decide whether staying put or making a move makes the most sense for your business.
Contact Us Today.
Book a consultation or give us a call.
COMPANY
LEGAL
ADDRESS
FOLLOW US
© 2026. R&R Consulting. All Rights Reserved.