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United Advisor Group
Decision tool

Transition Readiness Scorecard

Evaluate the practical areas that should be understood before beginning a serious transition conversation.

A transition decision can feel overwhelming when every question is considered at once.

This scorecard helps break the decision into practical areas: registration, client communication, technology, custodians, compliance, economics, timing, and team readiness.

Use it to see what already feels clear, what may be ready to plan, and what should be discussed before taking the next step.

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

Eight sections to consider
1

Registration and Regulatory Readiness

Consider what needs to be understood about registration, licensing, regulatory status, and timing before a transition can be planned.

Current registration status
Licensing or registration changes that may be required
Timing of advisor registration under a new structure
Required filings or approvals
Outside business activities or disclosures
Required compliance review before client communication
Professional guidance needed before taking action
2

Client Communication Readiness

Think through how clients would learn about a transition and what they would need to understand.

Client communication plan
Explanation of why the transition is being considered
Client questions and concerns
Timing of client outreach
Materials or talking points needed
Process for client signatures or approvals
Protecting client trust throughout the transition
3

Technology and Reporting Readiness

Evaluate the systems, workflows, and reporting needed to operate confidently after a transition.

CRM and client records
Portfolio reporting
Billing and revenue reporting
Document management
Client portal or client access
Communication systems
Team workflow and task management
Training needed for new systems
4

Custodian and Account Movement Readiness

Consider the custodial relationships, account movement process, and client account details that may affect transition planning.

Custodial options available
Account types and complexity
Transfer paperwork or e-signature process
Client data needed before paperwork
Timing of account movement
Coordination with current platform restrictions
Special client situations that may require extra planning
5

Compliance Readiness

Review the compliance responsibilities and support needed before, during, and after a transition.

Compliance responsibilities under a new structure
Advertising and communication review
Books and records requirements
Policies and procedures
Supervision and approval process
Client documentation
Ongoing compliance support
6

Economics and Revenue Model Readiness

Clarify the financial and business model questions that should be understood before making a serious decision.

Current payout or revenue share
Platform fees and expenses
Technology and compliance costs
Transition-related costs
Billing process
Revenue timing during transition
Long-term business economics
Support included in the model
7

Timing and Project Readiness

Look at whether the transition can be planned with enough structure, preparation, and realistic timing.

Desired transition timeline
Key deadlines or constraints
Data preparation
Document preparation
Client communication timing
Team availability
Vendor or custodian dependencies
Potential risks or delays
8

Team and Operational Readiness

Consider whether the advisor, team, and day-to-day operations are prepared for the work involved.

Team roles during transition
Staff training needs
Internal communication plan
Workflow changes
Client service coverage
Operational support needed
Advisor bandwidth
Post-transition follow-up plan

This scorecard 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, transition recommendation, or suitability determination. Actual economics, costs, timelines, transition outcomes, valuation, and business results vary by advisor, firm, platform, custodian, client base, regulatory requirements, and other factors. Advisors should review their situation with appropriate legal, compliance, tax, and professional advisors.