Securities-Based Lending for RIAs & Broker-Dealers
The SBLOC Wealth Advisors Advantage
Empowering Advisor Transitions with Confidence
The Challenge
Recruiting and retaining top advisors is the lifeblood of wealth management. But independence comes with a critical hurdle:​
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Moving client loan books between custodians requires a robust SBL and private banking platform.
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Most advisors leaving full-service firms are accustomed to integrated lending. Independent firms must replicate that experience—without compromise.
What Firms Must Deliver
To support advisor transitions and future growth, RIAs and IBDs need:
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A trusted third-party lender aligned with their custodian
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Seamless loan book migration workflow
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A scalable SBL platform for loan origination & support
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White-glove support for advisors and their clients
We bring deep expertise across:
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All major third-party lenders and SBL technology providers
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Custodian relationships and operational handoffs
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Advisor needs during transition—portfolio review, loan pricing, and account transfer
The Outcome
With SBLOC Wealth Advisors, firms can:
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Confidently evaluate SBL lenders and platforms
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Support advisors with hands-on service
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Move entire Loan books with care and precision