RIA hiring and advisor transition readiness checklists.

RIA Hiring Readiness Checklist

Before engaging a search partner or speaking with candidates, align the hiring team on the business problem this role must solve. A clear brief creates better conversations and a more credible candidate experience.

• Define the mandate: write down the business outcome, reporting line, decision rights, first-year priorities, and what must be true 12 months after the hire.
• Set the scorecard: separate non-negotiables from trainable skills. Consider advisory or investment experience, leadership scope, client-development expectations, operating fluency, and cultural signals.
• Name the stakeholders: decide who interviews, who owns the final decision, and where feedback will be consolidated. Agree on a realistic timeline before outreach begins.
• Calibrate the opportunity: prepare an honest explanation of the firm’s model, growth context, team structure, client experience, location or flexibility, and why the role is open.
• Plan the evaluation: use consistent questions and evidence-based notes. Test for judgment, collaboration, communication, and the practical realities of serving your client base—not credentials alone.
• Align the offer and close: confirm compensation parameters internally, identify approval steps, map notice-period and transition considerations, and keep strong candidates informed between decisions.
• Prepare integration: schedule introductions, access, systems, client context, and a 30/60/90-day plan. Decide how success and feedback will be reviewed after the start date.

For your preparation only. Checklist selections stay in this browser tab and are not submitted.

Advisor Transition Readiness Checklist

A move involving an advisor, team, or book of business touches relationships, operations, and professional obligations. This checklist helps you organize the conversation; qualified legal, tax, compliance, and transition professionals should advise on your specific situation.

• Clarify the decision: document why you are exploring a move, what must improve, your preferred timing, and which outcomes are unacceptable for you, your team, and your clients.
• Map the practice: summarize roles, service model, client segments, account and custodian considerations, technology dependencies, and the people required to deliver continuity.
• Assess the destination: ask about ownership, governance, investment platform, planning resources, operating support, client-service expectations, and how decisions are made day to day.
• Build a diligence list: request the information you need to compare platforms, and have your own counsel and compliance advisers review restrictions, agreements, records, and applicable requirements.
• Sequence communication: agree who needs to know, when, and through which channel. Prepare plain-language client messages, a question log, and a plan for uninterrupted service.
• Coordinate implementation: assign owners for account paperwork, custodian conversations, data and technology access, team onboarding, record retention, and follow-up with clients.
• Protect judgment and relationships: do not remove records or contact clients in ways that conflict with your obligations. Use the candidate inquiry to discuss next steps with NLR while you obtain professional advice for regulated matters.

For your preparation only. Checklist selections stay in this browser tab and are not submitted.

Use the checklists as a working brief

Bring the completed questions to an initial conversation with your internal stakeholders or NLR. We can help clarify a search mandate, identify the profile and market context to explore, or make a relationship-driven introduction. Actual role availability and details are confirmed in the career portal, which can be country-restricted; NLR internal recruiter careers are separate and are listed at /join.

• For hiring: review the mandate and scorecard with the decision-maker before requesting a market conversation.
• For a transition: write down your priorities and questions, then involve counsel, tax, and compliance advisers as appropriate.
• For current openings: check the career portal at https://careerportal.nlr.careers/#/jobs; do not assume a role is available from a general resource page.