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United Advisor Group
Decision tool

Confidential Conversation Prep Sheet

Organize your current structure, priorities, concerns, and questions before beginning a private conversation with UAG.

A confidential conversation is more useful when the right questions are already on the table.

This prep sheet helps you organize what you want to protect, what feels limiting today, what you may want to improve, and what you need to understand before evaluating a new structure.

It is not meant to produce a score or recommendation. It is simply a way to prepare for a more focused conversation about your firm, your clients, your business goals, and whether UAG's advisor-owned model is worth exploring.

Your responses stay on this page unless you choose to print, save, or share them.

Seven sections to consider

Conversation context (Optional)

These local-only fields help frame the summary if you choose to generate one.

1

Current Structure

Start by organizing the basics of where your firm is today.

Current affiliation model
Current platform or broker-dealer relationship
Current custodial setup
Current compliance support
Current technology and reporting
Current team structure
Current client service model
2

What I Want to Protect

Identify the parts of your business that feel important to preserve in any future structure.

Firm name, brand, and identity
Client relationships
Client trust and continuity
Investment approach
Business direction
Team culture
Long-term firm direction
Control over the economics of what I build
3

What Feels Limiting Today

Consider where your current structure may feel restrictive, unclear, inefficient, or no longer aligned with where you want the firm to go.

Platform costs or payout structure
Compliance process or restrictions
Technology limitations
Reporting visibility
Custodial limitations
Lack of ownership alignment
Limited succession or continuity options
Limited peer collaboration
Difficulty building long-term enterprise value
Feeling like the structure does not match the firm I am trying to build
4

What I May Want to Improve

Think about what a stronger structure would need to support.

Advisor ownership
Shared scale
Compliance infrastructure
Integrated technology
Clearer reporting
Custodial relationships
Strategic partnerships
Training
Idea sharing
Joint work
Firm-growth and firm-value support
Succession and continuity support
Long-term business independence
5

Client Considerations

Use this section to think through the client side of any future conversation or transition.

How clients would understand the reason for a change
What clients would need to know
What clients may worry about
What should remain familiar for clients
How client communication would be handled
Which clients may need special attention
What would help protect trust during the process
6

Questions for UAG

Organize the questions you would want answered in a confidential conversation.

How UAG's advisor-owned model works
How the One-Tier partnership is structured
What advisors typically retain
What support UAG provides
How compliance responsibilities work
What technology and reporting are available
Which custodial relationships are available
How transition planning is supported
How economics should be compared
How succession and continuity can be discussed
What timing may be realistic
7

Timing and Next Step

Think about whether this is an immediate decision, a future possibility, or a topic you’re beginning to explore.

I am actively evaluating options now
I am interested but early in the process
I want to understand the model before making any decision
I have timing constraints that need to be discussed
I need to understand client communication before moving forward
I need to understand compliance and transition logistics first
I need to compare economics more clearly
I want a private conversation before deciding whether to go further

My top 3 conversation priorities

Add the three points you most want to carry into the conversation.

1
2
3

This prep sheet is for educational and planning discussion only. It is designed to help advisors organize key considerations before evaluating a transition, partnership, or advisor-owned RIA structure. It is not a prediction, guarantee, valuation, appraisal, transition recommendation, suitability determination, or confirmation that any specific structure is appropriate. Actual economics, costs, timelines, transition outcomes, valuation, succession options, and business results vary by advisor, firm, platform, custodian, client base, regulatory requirements, market conditions, and other factors. Advisors should review their situation with appropriate legal, compliance, tax, valuation, and professional advisors.