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B U S I N E S S    C O N T I N U I T Y

Business continuity is an often a forgotten but is an integral part of your business success and value proposition. Business continuity provides peace of mind knowing that if something should happen to you,  your clients will be taken care of.  It is a simple and easy process that adds tremendous value to your organization. A lack of continuity planning may mean that you as an advisor have not met your fiduciary duty to act in the best interest of your clients.

Business continuity is an important part of a firm’s compliance program.   Should you become incapacitated or unable to fulfill your role as an investment advisor representative, RIA Innovations can provide a seamless transition for you and your clients.


A business continuity plan will be set up at the custodian level to ensure the custodian will provide RIA Innovations with immediate access to client data in the case of death, disability or even incapacitation of the primary advisor.


An investment advisor representative and a sales assistant will be assigned to your business. The assigned advisor will be the primary point of contact for all your client needs. In addition, experienced back office staff will also be assigned to your business to take over the day to day operations of your firm.  The result is uninterrupted service to your client.


RIA Innovations will work with your representative or power of attorney to ensure any transition to a permanent successor you may have designated.


Business continuity plan setup at custodian level




Turn-key program




Seamless transition



Select Solution

Please give us a call for additional information on how we can help you set up your business continuity plan. 



Consider Insurance


to bridge gaps. Key-man insurance and business interruption insurance help put cash in the bank on a short-term basis.



with your clients to let them know a plan is in place.



the plan on an annual basis. 

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