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# Advisory Services Network, LLC

The Path for Independent Investment Advisors

## Sitemaps

- [XML Sitemap](https://advservnet.com/sitemap.xml): Contains all public & indexable URLs for this website.

## Posts

- [More and more advisors going RIA, says Advisory Services Network’s Trey Prescott](https://advservnet.com/news/more-and-more-advisors-going-ria-says-advisory-services-networks-trey-prescott/)
- [Building a Recognizable Brand as an Independent Advisor](https://advservnet.com/insights/building-a-recognizable-brand-as-an-independent-advisor/) - As advisors move toward independence, they assume responsibility for more than their clients and their business. They also assume responsibility for how their firm is perceived in the marketplace. For many advisors, this represents a significant shift. Within larger institutions, brand recognition is often inherited. Credibility is reinforced by the firm's name, resources, and market
- [ASN names Fidelity veteran Stephen Peters to lead business development push](https://advservnet.com/news/asn-names-fidelity-veteran-stephen-peters-to-lead-business-development-push/)
- [Zephyr's Adjusted for Risk: Future-Proofing Your Financial Advisory Business](https://advservnet.com/news/zephyrs-adjusted-for-risk-future-proofing-your-financial-advisory-business/)
- [Can an AI agent help financial advisors reel in referrals?](https://advservnet.com/news/can-an-ai-agent-help-financial-advisors-reel-in-referrals/)
- [Client acquisition cost is tough to calculate. RIAs should try anyway.](https://advservnet.com/news/client-acquisition-cost-is-tough-to-calculate-rias-should-try-anyway/)
- [Private business, even more confidential fees: The cost of Fidelity custody](https://advservnet.com/news/private-business-even-more-confidential-fees-the-cost-of-fidelity-custody/)
- [How to Win Back 60% of Your Time: The Back Office Advantage Independent Advisors Need](https://advservnet.com/insights/how-to-win-back-60-of-your-time-the-back-office-advantage-independent-advisors-need/) - For many independent advisors, growth creates an unexpected challenge. As the business expands, so does the operational burden behind it. Client service remains the priority, but over time, more hours become consumed by paperwork, account administration, compliance coordination, vendor management, reporting oversight, and internal workflows. What once felt manageable gradually becomes fragmented. The issue is
- [Transitioning to Independence: A Structured Approach for Advisors](https://advservnet.com/insights/transitioning-to-independence-a-structured-approach-for-advisors/) - The decision to move toward independence is rarely impulsive. It is typically the result of evolving priorities over time. Advisors begin to reassess how they want to operate, how they want to serve clients, and what they ultimately want to build. Independence offers a different path. But the transition itself requires more than conviction. It
- [Plug-and-Play Independence: Why Advisors Under $250M AUM Are Choosing Platform RIAs](https://advservnet.com/insights/plug-and-play-independence-why-advisors-under-250m-aum-are-choosing-platform-rias/) - Independence has long been associated with control, flexibility, and ownership. For many advisors, the decision to leave an institutional environment is driven by the desire to build a business on their own terms. What has changed in recent years is how that independence is being pursued. Advisors managing under $250 million in assets are increasingly
- [How can RIAs replenish the pipeline for new advisor talent?](https://advservnet.com/news/how-can-rias-replenish-the-pipeline-for-new-advisor-talent/)
- [The True Cost of Going Independent: What Most Advisors Overlook Beyond the Payout](https://advservnet.com/insights/the-true-cost-of-going-independent-what-most-advisors-overlook-beyond-the-payout/) - On the surface, going independent can seem like a straightforward decision. Many advisors are drawn by the promise of a 90 percent payout or higher, motivated to leave the grid and reclaim full control of their practice. But too often, that headline number conceals a more complex picture. The reality is that independence comes with
- [Advisory Services Network Caps Banner 2025, Celebrates 15 Years and Surpasses $10.5 Billion in AUM](https://advservnet.com/news/advisory-services-network-caps-banner-2025-celebrates-15-years-and-surpasses-10-5-billion-in-aum/)
- [Rethinking Solo: Why Independence Shouldn’t Mean Isolation in 2026](https://advservnet.com/insights/rethinking-solo-why-independence-shouldnt-mean-isolation-in-2026/) - As 2026 begins, many independent advisors are reflecting on how to build a business that works for them—not the other way around. Over the past decade, the move toward independence has unlocked freedom, flexibility, and ownership for thousands of advisors. But with that freedom often comes a new kind of complexity—one that many didn’t anticipate.
- [Scale Without Sacrifice: Growing Your Advisory Practice Without Losing Client Focus](https://advservnet.com/insights/scale-without-sacrifice-growing-your-advisory-practice-without-losing-client-focus/) - For independent advisors, growth is often a double-edged sword. As your client base expands and operations grow more complex, so does the risk of losing the personal attention and responsiveness that built your reputation in the first place. But scaling and client focus aren’t mutually exclusive—if you build the right systems early, you can grow
- [Enhancing Client Loyalty Through Exceptional Service](https://advservnet.com/insights/enhancing-client-loyalty-through-exceptional-service/) - Enhancing Client Loyalty Through Exceptional Service Clients don’t stay just because the numbers are good. They stay because the experience feels personal, consistent, and built around their lives - not just their portfolios. In today’s environment, exceptional service isn’t a bonus - it’s a baseline for long-term loyalty. Make Your Service Model Visible Strong service
- [Young Advisors Want Independence. Trey Prescott’s Phone Is Ringing Off The Hook.](https://advservnet.com/news/young-advisors-want-independence-trey-prescotts-phone-is-ringing-off-the-hook/)
- [Building Operational Efficiency Tools and Strategies for Independent Advisors](https://advservnet.com/insights/building-operational-efficiency-tools-and-strategies-for-independent-advisors/) - Building Operational Efficiency: Tools and Strategies for Independent Advisors Operational efficiency isn’t just about saving time—it’s about creating space for growth. As the demands on independent advisors continue to increase, so does the need for smarter systems, scalable processes, and focused delegation. The right infrastructure can improve client service, reduce errors, and give advisors back
- [Why Small and Mid-Sized Advisors Are Closing Their RIAs to Join Platform RIAs](https://advservnet.com/insights/why-small-and-mid-sized-advisors-are-closing-their-rias-to-join-platform-rias/) - Over the last several years, a quiet but significant shift has been unfolding in the independent advisory space. A growing number of small and mid-sized RIAs—many of them well-established firms with loyal clients and solid revenue—are choosing to relinquish their own registrations and tuck into larger platform RIAs. It’s not a signal of failure. It’s
- [Marketing Your Advisory Firm in the Digital Age](https://advservnet.com/insights/marketing-your-advisory-firm-in-the-digital-age/) - Most financial advisors didn’t enter this industry to become marketers. You built your career on relationships, trust, and performance. But in today’s competitive and digital-first environment, growth looks different than it did even five years ago. If you’re not visible online, you're invisible to many prospective clients. And while that might sound overwhelming, marketing doesn’t
- [Effective Succession Planning: Ensuring the Future of Your Practice](https://advservnet.com/insights/effective-succession-planning-ensuring-the-future-of-your-practice/) - Most advisors spend their careers helping clients plan for the future. But when it comes to their own, succession planning often takes a back seat—until it’s urgent. The reality is, succession isn’t just about retirement. It’s about continuity. It’s about ensuring your clients are supported, your team is secure, and your life’s work carries forward
- [The Hidden Cost of Upfront Money: What Advisors Need to Know Before Signing](https://advservnet.com/insights/the-hidden-cost-of-upfront-money-what-advisors-need-to-know-before-signing/) - Few things grab an advisor’s attention faster than a large upfront offer. Promoted as a reward for past performance or a launching pad for future growth, these deals can look like a fast track to success. But beneath the surface, the structure behind that check may carry more weight than many advisors realize. Before signing,
- [ASN Lands Arkansas-Based Breakaway, Bringing 2025 Additions to $650M](https://advservnet.com/news/asn-lands-arkansas-based-breakaway-bringing-2025-additions-to-650m/)
- [Building a Niche Practice: Specialization Strategies for Advisors](https://advservnet.com/insights/building-a-niche-practice-specialization-strategies-for-advisors/) - Building a Niche Practice: Specialization Strategies for Advisors In an industry where trust is earned slowly and differentiation is hard to prove, financial advisors face a growing challenge: how to build a practice that not only attracts the right clients, but also grows in depth, profitability, and long-term relevance. For many, the answer isn’t to
- [The Rise of Fee-Based Advisory Services: Pros and Cons](https://advservnet.com/insights/the-rise-of-fee-based-advisory-services-pros-and-cons/) - In recent years, the financial advisory landscape has undergone a significant shift toward fee-based compensation models. More advisors are moving away from traditional commission-based structures and embracing a model that emphasizes transparency, fiduciary responsibility, and alignment of interests. This evolution has been influenced by heightened regulatory scrutiny, including the Department of Labor’s fiduciary rule proposal
- [Leveraging Technology to Enhance Client Engagement](https://advservnet.com/insights/leveraging-technology-to-enhance-client-engagement/) - In today’s financial landscape, clients increasingly expect more than just traditional advising—they seek seamless digital experiences, real-time insights, and personalized engagement. Technology is becoming an essential tool for financial professionals looking to strengthen relationships, improve service efficiency, and stay competitive in a rapidly evolving industry. Advisors who strategically integrate technology into their practice may deepen
- [Navigating the Platform RIA Transition: Key Considerations for Advisors](https://advservnet.com/insights/navigating-the-platform-ria-transition-key-considerations-for-advisors/) - The decision to transition to a Platform Registered Investment Advisor (RIA) model can significantly transform the way financial advisors manage their practices, offering more control and flexibility while still benefiting from a robust support system. This model provides a balance of independence and resources, giving advisors the freedom to manage client relationships while receiving the
- [Advisors Services Network Adds Firms, Approaches $9B AUM](https://advservnet.com/news/advisors-services-network-adds-firms-approaches-9b-aum/)
- [Price Pressures, Desire For Independence Fuels Need For Guidance](https://advservnet.com/news/price-pressures-desire-for-independence-fuels-need-for-guidance/)
- [A Pitch to Small Indie Advisors: Serve Your Clients, and We'll Provide the Tools](https://advservnet.com/news/a-pitch-to-small-indie-advisors-serve-your-clients-and-well-provide-the-tools/)
- [Year-End Business Reflection: How to Measure and Improve Your Practice’s Performance](https://advservnet.com/insights/year-end-business-reflection-how-to-measure-and-improve-your-practices-performance/) - As the year draws to a close, investment advisors have the perfect opportunity to reflect on their business performance, identify areas of growth, and set clear goals for the upcoming year. While reflecting on client relationships and investment strategies is important, it’s equally crucial to take a step back and evaluate your practice as a
- [Client Education on Cybersecurity: How Advisors Can Help Clients Protect Their Information](https://advservnet.com/insights/client-education-on-cybersecurity-how-advisors-can-help-clients-protect-their-information/) - Client Education on Cybersecurity: How Advisors Can Help Clients Protect Their Information In today’s digital landscape, the threat of cybercrime has become an ever-present concern, especially for individuals managing sensitive financial data. Financial advisors play a critical role in educating clients on how to protect their personal information and assets. While cybersecurity might seem like
- [Creating a Recognizable & Trusted Brand as an Independent Adviser](https://advservnet.com/insights/creating-a-recognizable-and-trusted-brand-as-an-independent-adviser/) - Going independent as an investment adviser is an exciting step, but it comes with the challenge of building a recognizable and trusted brand. Your brand is more than a logo—it's your professional identity and the message you convey to clients. This guide will help you build and market your brand effectively in the competitive financial Learn how to build a recognizable, trusted brand as an independent investment adviser. This guide covers essential steps to establish your professional identity, convey your value to clients, and stand out in the competitive financial advisory landscape.
- [As an Investment Adviser, Do You Know Your Real Compensation?](https://advservnet.com/insights/as-an-investment-adviser-do-you-know-your-real-compensation/) - Advisory Services Network provides several key factors investment advisers should consider when calculating their real compensation and maximizing income.
- [Assessing Client Risk Tolerance: A Comprehensive Guide for Wealth Advisors](https://advservnet.com/insights/assessing-client-risk-tolerance-a-comprehensive-guide-for-wealth-advisors/) - Advisory Services Network provides an effective strategy for financial advisors when evaluating client risk tolerance, including practical implementation steps.
- [IBD Elite 2024: IBDs with Highest Payout Growth](https://advservnet.com/news/ibd-elite-2024-ibds-with-highest-payout-growth/)
- [What Clients Think They Want vs. What They Actually Need: Insights for Wealth Advisors](https://advservnet.com/insights/what-clients-think-they-want-vs-what-they-actually-need-insights-for-wealth-advisors/) - Advisory Services Network explores how to navigate what clients think they want versus what they really need from the relationship with their financial advisor.
- [IBD Elite 2024: The Myth of Big Versus Small](https://advservnet.com/news/ibd-elite-2024-the-myth-of-big-versus-small/)
- [Tom Prescott: Targeting a 'Wildly Underserved' Advisor Market](https://advservnet.com/news/tom-prescott-interviewed-by-barrons-targeting-a-wildly-underserved-advisor-market/)
- [Strategies for Recruiting Top Talent to Your Investment Advisory Practice](https://advservnet.com/insights/strategies-for-recruiting-top-talent-to-your-investment-advisory-practice/) - Advisory Services Network's strategies for recruiting top talent to your investment advisory practice including numerous recommendations.
- [What Can AI Do For You?](https://advservnet.com/insights/what-can-ai-do-for-you/) - In this final post in our 4-part tech series, Advisory Services Network explores how artificial intelligence can positively impact the modern advisory practice.
- [There is Nothing ‘Artificial’ About the Intelligent Advisor/Client Relationship](https://advservnet.com/insights/there-is-nothing-artificial-about-the-intelligent-advisor-client-relationship/) - The Modern Advisor Meets Modern Technology – Part 3 The best technology solves difficult problems, uncovers time- and money-saving new approaches, and frees up time for the people using that technology. For today’s modern financial advisor, technology is an invaluable tool. In Part 1 and Part 2 of our tech-focused blog series, we explored the
- [Top Hybrid RIAs 2023](https://advservnet.com/news/top-hybrid-rias-2023/)
- [You Have Questions About Your Tech Stack. But Are They the Right Questions?](https://advservnet.com/insights/you-have-questions-about-your-tech-stack-but-are-they-the-right-questions/) - Financial advisors often have questions about their tech stack. But are they the right questions? Advisory Services Network identifies the questions to ask.
- [The Modern Advisor Meets Modern Technology - Part 1](https://advservnet.com/insights/the-modern-advisor-meets-modern-technology-part-1/) - Part 1 of Advisory Services Network's insights on the role of modern technology in the modern advisory practice.
- [When Does an Advisory Practice Become a Business?](https://advservnet.com/insights/when-does-an-advisory-practice-become-a-business/) - When Does an Advisory Practice Become a Business? ASN has developed an eye for that important inflection point and we share it here
- [Unlocking Success: 5 Daily Habits for Investment Advisors to Propel Business Growth](https://advservnet.com/insights/unlocking-success-5-daily-habits-for-investment-advisors-to-propel-business-growth/) - Advisory Services Network shares the five daily habits that can play a pivotal role in shaping the trajectory of an investment advisor's business.
- [Advisory Services Network Tops $7B in AUM](https://advservnet.com/news/advisory-services-network-tops-7b-in-aum/)
- [Investment Advisors' Must-Ask Questions When Meeting Prospective Clients](https://advservnet.com/insights/investment-advisors-must-ask-questions-when-meeting-prospective-clients/) - Here is a detailed guide from Advisory Services Network on must-ask questions for investment advisors when meeting with prospective clients.
- [The RIA M&A Environment: Slowing, But Still at Historically High Levels](https://advservnet.com/insights/the-ria-ma-environment-slowing-but-still-at-historically-high-levels/) - After an absolutely torrid run, mergers & acquisitions activity in the RIA space has seen two consecutive quarters of decline for the first time since 2018, according to the industry watchers at DeVoe & Company[1]. Signs of slippage in the pace of deals emerged in Q4 of last year, when the number of deals declined
- [Thinking About Going Independent? You’re Not Alone.](https://advservnet.com/insights/thinking-about-going-independent-youre-not-alone/) - The financial advice industry has long been dominated by large firms and wirehouses. For financial advisors, working for such organizations can provide a certain level of safety and support. But more and more financial advisors are considering striking it out on their own… and for good reason. When we ask the advisors who choose to
- [Working On Your Business. Not In It.](https://advservnet.com/insights/working-on-your-business-not-in-it/) - #Benjamin Franklin famously said, “Time is money.” Perhaps if he had been a financial advisor, he might have altered things slightly, saying “Time is other people’s money.” After all, the primary responsibility of the advisor is helping the client attain the type of financial standing, and financial future, that will allow them to accomplish all
- [Why Do Advisors Consider Independence? Part 1](https://advservnet.com/insights/why-do-advisors-consider-independence-part-1/) - There is no shortage of firms that will explain to advisors how they can go independent. But too often lost in the discussion is the why. Why do advisors start to consider the independent path? The answers to that question vary, but they tend to crystallize around a handful of reasons, and in our conversations with hundreds of
- [Why Do Advisors Consider Independence? Part 2](https://advservnet.com/insights/why-do-advisors-consider-independence-part-2/) - In our previous piece, we looked at the top five factors that spur advisors to explore independence, according to the results of a recent survey we conducted. Today, we’ll be delving into a handful of additional findings from the same survey which struck a chord with our team and helped shine additional light on some
- [Thinking of going independent? How smaller RIAs can win despite disruptive tech](https://advservnet.com/news/thinking-of-going-independent-how-smaller-rias-can-win-despite-disruptive-tech/)
- [RIAs Grow Headcount and Assets Faster Than Competitors](https://advservnet.com/news/rias-grow-headcount-and-assets-faster-than-competitors/)
- [The Top 5 Questions to Ask Before Going Independent](https://advservnet.com/news/the-top-5-questions-to-ask-before-going-independent/)
- [Why One Father-Son Team Closed Their RIA to Join an Aggregator](https://advservnet.com/news/excepteur-sint-occaeuiecat-cupidatat-ut-labore-2/)
- [Texas teams managing $151 million link with Advisory Services Network](https://advservnet.com/news/excepteur-sint-occaeuiecat-cupidatat-ut-labore/)
- [Five Questions To Ask (And Answer) Before You Go Independent](https://advservnet.com/news/tempor-dolore-magna-excepte-sint-occaeuiecat-ut-labore-cupidatat-lorum/)
- [Key Considerations for Building a Multi-Generational Firm](https://advservnet.com/news/director-of-biz-dev-trey-prescott-on-multi-gen-firms/)
- [Exodus of US investment advisers sparked by mergers and bank turmoil](https://advservnet.com/news/exodus-of-us-investment-advisers-sparked-by-mergers-and-bank-turmoil/)
- [Live from BNY Mellon Pershing Insite](https://advservnet.com/news/live-from-bny-mellon-pershing-insite/)
- [Atlanta-Based Firm Taps Ascent Of Independent Advisor Sector](https://advservnet.com/news/atlanta-based-firm-taps-ascent-of-independent-advisor-sector-2/)
- [Q&A: Advisory Services Network's Tom Prescott on the Market for Smaller](https://advservnet.com/news/qa-advisory-services-networks-tom-prescott-on-the-market-for-smaller/)
- [US Wealth Sector In Transition – Filling Gaps In Advisory Space](https://advservnet.com/news/us-wealth-sector-in-transition-filling-gaps-in-advisory-space/)
- [Helping Advisors Achieve Independence and Success](https://advservnet.com/news/helping-advisors-achieve-independence-and-success/)
- [Q&A: Inside the Mind of the Smaller Advisor](https://advservnet.com/news/how-to-maintain-ria-independence-amid-a-wave-of-consolidation/)
- [Leading the Way to Advisor Independence](https://advservnet.com/news/leading-the-way-to-advisor-independence/)
- [Independence For Advisors Under $300 Million](https://advservnet.com/news/independence-for-advisors-under-300-million/)
- [How to Maintain RIA Independence Amid a Wave of Consolidation](https://advservnet.com/news/how-to-maintain-ria-independence-amid-a-wave-of-consolidation-2/)
- [How Small RIAs Can Grow While Staying in Control](https://advservnet.com/news/how-small-rias-can-grow-while-staying-in-control/)
- [Podcast with ASN COO Cindy Halpern on what is an independent fit.](https://advservnet.com/news/podcast-with-asn-coo-cindy-halpern-on-what-is-an-independent-fit/)

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## Team Members

- [Laura Tedball](https://advservnet.com/team/laura-tedball/) - Laura serves as Chief Compliance Officer at ASN. A solutions-focused compliance professional with a 22-year background in the financial services industry, Laura began her career doing broker/dealer and investment adviser registrations for multiple firms, ultimately becoming Chief Operating Officer. Laura then leveraged her years of experience to became Chief Compliance Officer for a mid-sized broker/dealer
- [Thomas C. Prescott, Jr.](https://advservnet.com/team/thomas-c-prescott-jr/) - Thomas C. Prescott, Jr. is a co-founder and Managing Member of ASN and is responsible for strategic consulting and relationship management for the firm. Tom brings more than 40 years of financial services industry and consulting experience to ASN, with particular expertise providing compliance, risk management, and operations services to Investment Advisor Representatives (IARs). In
- [Trey Prescott](https://advservnet.com/team/trey-prescott/) - Trey has more than 10 years of experience at ASN and is currently the Director of Business Development, overseeing the company’s sales, marketing, and relationship management functions. Previously, Trey spent five years working in ASN’s sales department where he helped grow the company’s roster of independent advisors. After graduating from Auburn University’s Lowder School of
- [David Paulukaitis](https://advservnet.com/team/david-paulukaitis/) - Dave is a co-founder and Managing Member of ASN, where his primary role is identifying and managing risk. Prior to ASN, Dave worked for over two decades at NASD (now known as FINRA) as an examiner, Supervisor of Examiners, and Associate Director of the Atlanta District Office. Dave served on a number of national NASD
- [Cindy Halpern](https://advservnet.com/team/cindy-halpern/) - Cindy is the Chief Operating Officer & Controller for ASN and has been with the firm since its inception in 2010. Cindy manages the day-to-day functions of the firm as well as working directly with advisors. She is also responsible for the implementation of advisor transitions and the management of all financial and operational teams.

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