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Smooth Affiliation and Transition Processes

The goal of our expert transition specialists is to ensure that the mutual due diligence process, on-boarding and transition processes are seamless and successful.

Affiliation Process

Stage 1 – Goals, Objectives & Challenges

We understand that every advisor and every transition is unique. Your transition will be tailored to you, your business, and clients. Our first step is to explore your current and preferred business model, your goals and objectives, and any challenges you face (e.g. non-solicit or non-compete clauses in your employment contract).  During these confidential discussions, we will listen closely to thoroughly understand your mission and vision for your new business.   This will help us to get to know you and what drives your preferences.

Stage 2 – Opportunity Review & Data Collection

The next step is to complete a Practice Profile Questionnaire, Due Diligence Checklist and Confidential Profile. We will evaluate this data to provide you with insights regarding the financial and non-financial impacts to your. Then we will provide a summary of recommended solutions and opportunities to enhance your practice.

Stage 3 – Due Diligence Review and Structure Affiliation

When we have each completed our due diligence reviews and have decided that an alliance will be mutually beneficial, we will hold a series of meetings. During these meetings the parties will finalize the structure of the affiliation and review and execute final affiliation documents. A date for the beginning of the integration process will be finalized.

Transition Process

We know that it is critical to retain your valued client relationships. Our Transition Team focuses on helping you to achieve account/asset transfer with minimal loss of revenue and optimum client retention.  Transition Team members have extensive operations and administrative experience and an outstanding track record of effectively converting practices from different clearing firms.  Monthly conference calls between you and your Support Team will foster a continuous review of the processes, information sharing, and discussions regarding support and tools that may be helpful for you and your clients.


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