Unleash Your Potential as a

Breakaway Advisor.

Join Uptick Partners and experience the independence, support, and growth designed specifically for the breakaway advisor. Together, let’s chart a course toward unparalleled success in your practice.

As featured in leading financial publications

leading the way for

Breakaway Advisors

At Uptick Partners, we’re rewriting the script for breakaway advisors and offering an RIA platform designed exclusively for them. Built by breakaway advisors, Uptick Partners delivers an unwavering commitment to empowering aspiring advisors to leave the captive broker-dealer world and start their own journey towards unparalleled success.

Taking You a
Step Above.

Our Solution

If you’re an advisor seeking independence, consider Uptick Partners as your launchpad. We provide a robust platform for advisors to take their practice a notch higher. Our mission is to empower you with the resources, support, and freedom to deliver exceptional service to your clients while growing your business.

Your Current Situation

Breaking away from a captive broker-dealer can be a daunting task for financial advisors, but it doesn’t have to be. With the right support, advisors can achieve independence and take control of their practice. We understand the challenges that come with breaking away and have built a platform designed to make your transition smooth, empowering, and profitable.

The Uptick Advantage.

We understand the challenges of going independent because we’ve done it ourselves. That’s why we’ve created an environment where you can gain all of the benefits of full independence while also focusing on what you do best – advising clients.

With Uptick Partners, you can “plug into” our platform and leverage our existing infrastructure, including operational support, integrated technology, and compliance oversight. Higher payouts or revenue are also potentially advantageous, along with our unwavering commitment to helping you effectively manage your practice and grow your client base.

When you join Uptick, you gain a partner who has walked in your shoes and is dedicated to helping you navigate the complex RIA landscape without compromising your autonomy. We know transitioning to independence can be intimidating, but our primary objective is to ensure you start out on a path to success, all the while being innovative and staying ahead of the competition.

Higher Payouts +

Community +

Infrastructure +

Growth +

Innovation +

Elevate Your Practice.

Are you an advisor eyeing a breakaway from your captive broker-dealer? Seeking greater independence without compromising on community, resources, innovation, and support? Look no further than Uptick Partners, where we offer an extraordinary blend of autonomy, growth, and future-focused solutions for financial advisors like you. Learn more about our process below.

1

Assessment

We thoroughly evaluate your current situation, your goals, and your readiness to become an independent advisor. This involves understanding why you want to break away and what you hope to achieve as an independent advisor.

2

Due Diligence

Advisors undergo a multi-step due diligence process to ensure there is alignment in terms of strategy, goals, and ethical practices with Uptick Partners, including a compliance review and overall practice evaluation.

3

Preparation

Once we’ve decided to mutually move forward, the next step involves proper planning and preparation for breaking away. We’ll create a comprehensive business plan outlining services, pricing, marketing strategies, and more.

4

Transition

This stage involves implementing your transition plan, which includes notifying your current employer, transferring your clients, moving registrations, and setting up your independent practice.

At Uptick Partners, we're not just about maintaining the status quo. We're about taking you a step above. With us, you're not just part of a firm - you're part of a movement towards a brighter and more prosperous future for yourself and your clients.

Elevate Your Practice

Ready to experience an ‘uptick’ in your financial advising career and take your practice to the next level?

Partner with us and experience the future of financial advising as an independent financial advisor.