Advocates for Advisors in Transition

Ease the worry and burden associated with transitioning your firm

Transitioning to an independent broker-dealer, a hybrid RIA or a pure RIA can be complex and impact all areas of your advisory practice.  The fear and worry associated with transitioning often leaves advisors feeling trapped and frustrated, and for too long.

We are here to help ease the worry and burden associated with advisor transition.  Regardless of where you are now, we serve to help increase your independence and opportunities for success.

Where are you on the Independence Bridge?


LPL Financial, America’s Largest Independent Broker-Dealer*

Financial Advocates is the fourth largest OSJ enterprise at LPL Financial. With Financial Advocates, captive advisors can easily transition to the largest independent broker-dealer in the United States (based on total revenues, Financial Planning magazine June 1996-2017). LPL Financial is also one of the fastest growing RIA custodians. LPL Financial provides proprietary technology, comprehensive clearing and compliance services, practice management programs and training, and independent research to more than 15,000 independent financial advisors and over 700 financial institutions, enabling them to help their clients turn life’s aspirations into financial realities.



Meaningful Opportunities for Hybrid RIAs

With Financial Advocates there is no need to say no to significant opportunities.  We have relationships with a multitude of custodians and third party money managers to open the door for any new business.  Interested in becoming a Hybrid RIA? Contact us. Our transition experts are ready to assist you!

Financial Advocates Investment Management

Financial Advocates Investment Management (FAIM) supports independent advisors transitioning to a Hybrid or Pure RIA.

As a Hybrid RIA, enjoy increased freedom and options while continuing to write new variable business and receive 12-B1 trailing commissions. We provide expert regulatory oversight and support in all areas of practice management and serve as your primary liaison with LPL Financial.

As a Pure RIA, we help you exit your broker-dealer and establish a fiduciary commitment to your clients to achieve pure independence. Experience freedom from broker-dealer compliance including filling out trade blotters, check registrars, marketing regulatory reviews and more. We’ll help you stay strategic with your planning and SEC audit ready.

Looking to grow or expand your financial practice?

We support an expansive network of independent financial advisors across the nation. If you are thinking about increasing your independence and opportunities for success, let’s talk.