Find & Vet the Right Independent Home (Without Losing What Works at Jones)

If you’re an Edward Jones advisor, your biggest question isn’t “Can I run a business?” It’s “Which independent firm will replicate the support I rely on while giving me the freedom I want?”

I’ve advised dozens of Jones advisors through successful transitions.

This resource kit gives you a structured, non‑Protocol‑aware process to identify, compare, and short‑list best‑fit platforms, custodians, OSJs, and RIAs so you can evaluate independent options for yourself.

✅ My Complete Jones –> Indie Playbook

  • 50 Jones FAQ’s answered

  • My Replicate-Your-Support Map

  • Pro Forma Scenarios

  • My 90 Day Launch Blueprint

  • Barriers to Exit (With Practical Fixes)

✅ My Platform Due Diligence Score Card for finding and vetting potential RIAs and broker-dealers.

✅ 90 Day Transition Checklist to give you an idea of what the transition period requires and how to navigate it with safety and vision.

Who This Is For

Freedom: Edward Jones advisors who want more planning freedom, pricing control, and brand flexibility but won’t sacrifice client experience or operational ease.

Vetting: Advisors who want a repeatable, defensible vetting process to compare RIA platforms, hybrid/IBD + OSJs, or launching their own RIA.

Transition: Teams who need a non‑Protocol‑aware guide that preserves relationships, minimizes legal risk, and creates an easy client path to follow you.

Not ideal if: you want a hypey “fastest bonus wins” checklist or you’re not open to a documented, step‑by‑step evaluation.

My Complete Jones –> Indie Playbook

My comprehensive guide focused on how to find and vet independent homes that replicate (or usually improve) your current support.

What’s inside (highlights):

The Replication Lens: how to replace BOA support, Advisory Solutions/models, research, compliance reviews, reporting, forms/e‑sign, marketing, lending/cash management, and annuities/insurance workflows.

Path Comparison (with trade‑offs you’ll actually feel): Own RIA vs. hybrid/IBD + OSJ vs. tuck‑in RIA platform—where control, speed, economics, and support diverge.

Platform/Vendor Demos: the exact questions to ask in live demos about lending SLAs, alts access, UMA/Model marketplaces, billing, data flows, and advertising turnaround times.

The “Coaching + Clarity” Compliance Test: a practical way to spot cultures that enable marketing, niche positioning, and timely approvals.

Non‑Protocol Considerations: resignation choreography, what you can/can’t take, and how to handle inbound client interest the right way.

Barriers to Exit (20 real constraints—and fixes): TRO concerns, training‑cost clauses, LP/deferred comp, ACAT‑out fees, staff portability, BOR friction, and U5 language.

First‑90‑Day Client Value: how to show tangible improvements (planning, tax awareness, reporting, service calendar) within weeks.

Platform Due‑Diligence Scorecard Spreadsheet — Side‑by‑Side, Weighted Scoring

A decision tool to compare up to three platforms head‑to‑head with weighted criteria.

What it helps you do: turn demo notes into a numerical comparison you can defend—so you shortlist with confidence.

Included criteria (editable):

  • Transition support (PM, ACAT team, legal offset)

  • Economics transparency (bps, payouts, thresholds)

  • Tech stack (PMS/reporting, trading, billing, integrations)

  • Planning/tax stack (planning software, tax tools, vault/portal)

  • Lending/cash (SBL, PAL, mortgages, sweeps, SLAs)

  • Alternatives/SMAs (access, due diligence, minimums)

  • Compliance culture (coaching, turn times, testing calendar)

  • Brand/marketing help (site, content, advertising reviews)

  • References (recent non‑Protocol transitions)

  • Exit flexibility (ability to “graduate” to your own ADV)

How to use it: assign 1–5 weights based on your practice priorities, score each platform 1–5, and let the sheet auto‑calculate weighted totals. Add notes where a “Yes” hides a painful “How.”

My 90‑Day Transition Checklist Spreadsheet

A protocol-aware, sequenced task roadmap from T‑90 days to Month 3 that keeps your evaluation and launch disciplined without chaos.

The kind of stuff I cover:

Pre‑move: retain counsel and compliance support, clarify your path (own RIA vs. hybrid vs. tuck‑in), secure domain/email/VOIP, line up Ops Lead/fractional ops, and demand a real project plan from platforms.

Build: configure CRM/PMS/trading/billing/archiving with dummy data; pre‑build ACAT packets; finalize scripts; office/flex‑space basics.

Day‑1 to Week‑4: non‑Protocol resignation choreography, client transition strategies, twice‑daily ACAT pipeline huddles, weekly metrics.

Month 2–3: first review upgrades for Tier‑A, COI compacts, client event #1, P&L vs. pro forma sanity check, staffing/pricing tune‑ups.

Includes: Status dropdowns (Not Started / In Progress / Done / Blocked) so nothing slips.