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Purchasing a Broker Dealer or a
Registered Investment Advisor (RIA) is a step-by-step
process, and can, on many occasions, be accomplished in a very
short time and in some cases just a few days, with no downtime.
Two of the most frequently asked questions by prospective buyers
are How long will it take? and What will I
need to do?
In practice, the time required from initial request to closing
date will vary depending on a number of factors complexity
of the arrangements, how prompt the parties are in producing
all necessary documentation, and what kind of work load the
regulators are under at time of documentation submission.
Broker Dealer Market specializes in this niche market and can
guide you through a smooth transition. Should you initiate a
purchase, you will be sent a set of instructions and procedures
that must be followed.
The Buying Process
represents a typical process for buying a Broker Dealer. It is written
to give you a conceptual understanding of the process and timeline. |
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