Planning the transition of your assets early will ensure a smooth onboarding experience. We will prepare your data to ensure you have all of the information needed to open accounts at your new firm. The biggest indicator of a successful transition is the accuracy and thoroughness of the client data.

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Our services focus on assisting teams with collecting, scrubbing, and preparing client data during the pre-transition phase of the process. This is a significant value-add for advisors during a Protocol transition or a situation in which the advisors own their client data outright. For Non-Protocol transitions, we consult on sourcing public data, collecting it for the transition, and organizing it for continued success.

 

Read more about the Broker Protocol here.

Brokerage? Advisory? Direct Business? No problem! We will capture all of the details to create an accurate, comprehensive data set. This can be used to track the transition of assets after the live date, too. 

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We help advisors understand what to expect before, during and after the transition. We teach them how to manage it efficiently and consult on most effective client communications for realistic expectations. We created proprietary resources and workflows and will serve as the project manager of your client assets transition.

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​With over four decades in the financial services industry, we have experience with most reporting platforms. Regardless of where your client accounts are currently custodied, we can create a robust data base to use with your new broker / dealer. We will work with you to capture all the required details to make transitioning your assets to your new firm as smooth as possible. Properly capturing and preparing data in advance streamlines the repapering process and ensures service continues with minimal impact to the client. We use a custom, proprietary data management system for secure data submission, tracking and reporting. We can accommodate any size office as the solution is customizable and scalable to suit every project.

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In addition to capturing account data we can assist with the transfer of clients and assets into the new system. Each system is unique and has it's own specifications, an accurate data set is critical to a successful transition.

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During the pre-transition process, and for several weeks post live-date, we work with advisors to prepare, distribute, and process client paperwork. We can assist with KYC / CIP issues and track the progress of the asset transition. Upon request, we may travel on-site to the advisor’s location for hands-on support.

Our support is available after your live date, too!

 

We will continue to assist you with new account forms, transfer paperwork, and direct business change forms as needed. Support includes printing, FedEx or DocuSign preparation of forms for your clients to sign.