The client, a solo practitioner with over 20 years of experience, managed approximately $140 million in client assets. With retirement on the horizon in 5–7 years, they sought clarity on his long-term options: stay and sunset his book within the network, sell to another advisor, or transition to an RIA platform.

He engaged Doherty to conduct a comprehensive strategic review of his practice, including valuation, succession planning, and client readiness. The process included:

Ultimately, the advisor chose to begin preparing for an RIA transition, with a 12–18 month runway to build infrastructure, communicate with clients, and identify a junior partner to support continuity.