Independence starts with the right questions.

Yes. ASN’s model is designed to support independent advisory businesses while preserving the ownership, identity, and long-term value of the firm.

Advisors retain control of their brand, client relationships, investment approach, business decisions, and long-term direction while operating within ASN’s regulatory framework.

Building an independent RIA requires the advisor to establish and maintain the regulatory, compliance, custodial, technology, operational, billing, and vendor infrastructure behind the business.

Through ASN, advisors operate within an established environment with that infrastructure already in place, while retaining control of their brand, client experience, investment philosophy, and long-term direction.

ASN’s pricing is structured as a basis-point fee based on assets under management on the custodial platform, with breakpoint discounts as the advisory business grows.

ASN provides a detailed review of pricing and what is included during the evaluation process.

Each transition is based on the structure and complexity of the advisory business.

ASN coordinates the planning, regulatory and business requirements, custodial onboarding, technology preparation, advisor and staff readiness, client onboarding, and account movement required for launch.

Timing varies based on factors including registration requirements, custodians, account types, technology needs, and the structure of the business.

Advisors affiliated with ASN can operate through ASN’s SEC-registered regulatory platform rather than establishing and maintaining a separate RIA.

ASN coordinates registration and licensing requirements, compliance onboarding, regulatory supervision, policies and procedures, audits, training, and ongoing compliance support. Advisors remain responsible for operating in accordance with ASN policies and applicable regulatory requirements.

ASN provides the operating infrastructure behind an independent advisory business. Depending on the structure and needs of the firm, the platform can include operations, regulatory oversight and compliance, marketing support, billing, technology, investment and business solutions, transition support, custodial coordination, document management, succession planning, and insurance and risk-management resources.

ASN operates through an open-architecture model, allowing advisors to incorporate approved technologies, investment managers, model portfolios, planning tools, insurance and annuity solutions, and other business resources based on the needs of the firm.

ASN maintains relationships with multiple custodial providers, including Fidelity Investments, Charles Schwab, BNY Pershing, and Goldman Sachs, as well as other providers where appropriate.

The appropriate custodian depends on the advisor’s business, client needs, account structure, investment approach, and the requirements of the selected provider. ASN coordinates the onboarding and operational requirements associated with the custodial relationship.

ASN supports advisors as they evaluate succession planning, continuity, next-generation ownership, acquisitions, and other long-term ownership considerations.

Support may include continuity planning, internal succession opportunities, acquisition support, transition coordination, and long-term business planning while keeping ownership decisions with the advisor.