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If something happened to you tomorrow, who would tell your clients?

Providence Continuity Partner gives your firm an independent, prepared continuity contact. If you die or can't continue, we notify clients, custodians and regulators and handle an orderly regulatory wind-down.

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Without a plan

Clients hear nothing. Fees keep debiting. Registrations stay open with no one able to close them, and your family is left to figure it out.

With a Continuity Partner

Your family makes one call. Clients are informed promptly, fees stop, and filings are handled by someone who already has the access and the plan.

Built for solo and small advisory firms

Regulators expect every investment adviser to have a workable business continuity and succession plan. SEC-registered advisers address it through their compliance program, and many states require written continuity and succession procedures.

For a one-person firm, that plan often ends with "my family will handle it." We give you a prepared, independent contact instead, so your clients are cared for and your loved ones aren't left with the paperwork.

An exam-ready plan for regulators

Your continuity procedures updated, authority documents in place, and a documented annual test you can show examiners.

Clients informed, not left wondering

Clients, custodians and regulators notified promptly and accurately, and clients guided to an adviser of their own choosing.

One phone call for your family

Your loved ones make one call. We handle the notices, the regulatory filings and the wind-down from there.

How it Works

Set Up

We update your continuity plan, provide the authority documents for your attorney, and arrange regulatory filing and custodian access in advance. Usually within 30 days.

Review Annually

A quick annual check of contacts, access and your client list, plus a short tabletop test documented for your compliance file.


Activate if Needed

If the unexpected happens, we verify the event, notify everyone who needs to know, file the wind-down forms and help clients transition.


Clear roles, by design

What we do
  • Notify clients, custodians, regulators and vendors
  • Prepare and file Form ADV-W, Form U5s and interim ADV amendments
  • Update your website, voicemail and email notices
  • Coordinate with your estate and any successor adviser
What we never do
  • Give investment advice or manage accounts
  • Hold custody or move client money
  • Choose a successor adviser for your clients
  • Buy, sell or take over your business

Frequently Asked Questions

SEC-registered advisers are expected to address business continuity in their compliance policies and procedures, and many states require written continuity and succession procedures. Examiners regularly ask who would act for clients if the principal could not.

Often, yes. A successor takes over client relationships; someone still has to verify what happened, notify regulators and custodians, and file the paperwork to close or transition your firm. We coordinate with your successor so nothing falls through the cracks.

No. We never manage accounts or steer clients. Your clients' assets stay in their names at your custodian, and each client chooses their next adviser.

Make one phone call. Your emergency contact receives a short instruction sheet and a signed letter from you, and we take it from there.

Most firms are fully set up within 30 days, including the documents your attorney reviews and the regulatory and custodian access we arrange in advance.

Protect your clients and your legacy - Request Service Details