90 Days
The formation of the new RIA will be an intense, yet exciting time.
90 days to the finish line.
forming the RIA
It’s only 90 days to freedom
There will be a substantial amount of work flowing through the team to ensure the target of 90 days is achieved. A cross-functional team comprised of Ascendia experts and new RIA employees will be deeply engaged through this entire process.
from the top
The First 90 Days
LAUNCH
- Complete Initial Contract
- Questionnaire Completion
- Data Gathering
- Draft Service Agreement
- Entity Audit Plan
- Questionnaire Completion
- Data Gathering
- Draft Service Agreement
- Entity Audit Plan
INITIATE
- Entity Formation
- Initial Pro-Forma Forecasts
- IARD / CRD
- Part 1A, 2A, 3 (CRS)
- Technology / Ops Roadmap
- B/D Selection & Intro
- Final Service Agreement
- HR / Benefits Audit
- Initial Pro-Forma Forecasts
- IARD / CRD
- Part 1A, 2A, 3 (CRS)
- Technology / Ops Roadmap
- B/D Selection & Intro
- Final Service Agreement
- HR / Benefits Audit
BUILD
- Compliance Manual
- Code of Ethics
- Privacy Policy
- New IMA
- Final Tech Stack
- Final Pro-Forma Forecasts
- Operating Agreement
- New HR Benefits Package
- Complete Entity Setup
- New Selling Agreements
- Code of Ethics
- Privacy Policy
- New IMA
- Final Tech Stack
- Final Pro-Forma Forecasts
- Operating Agreement
- New HR Benefits Package
- Complete Entity Setup
- New Selling Agreements
GO
- SEC Approval
- Notice Filings
- U4 Filings
- Advisor OBAs
- Press Releases
- Marketing Updates
- Tech cutover
- New RIA Deployment
- Notice Filings
- U4 Filings
- Advisor OBAs
- Press Releases
- Marketing Updates
- Tech cutover
- New RIA Deployment
Collaborate with Us!
Ascendia Partners will drive strategic business growth while ensuring your independence.
We have the track record to prove it. Let us prove it again.