Client Info Gathering Form PDF
Client Info Gathering Form – PDF
Open Here This is a PDF version of the Client Information Gathering Form I created in Excel. If you'd like to customize this document, start with the Excel version. Reach…
Resignation Letter Template
Resignation Letter Template
Open Here This is a starter letter template for advisors who don't want to start off their transition by burning bridges. Keep it simple. Keep it professional. Remember the end…
Client Announcement Letter
Client Announcement Letter Template
Open Here This is a starter letter template for advisors to send clients a physical letter or email upon resignation from their current firm. Control the narrative. Inform the clients…
Client Release Letter
Release of Info Letter Template
Open Here This is an optional starter letter template for advisors to use to possibly increase the chances of cooperation by the contra firm. It is not an official document.…
Sample Client Instructions
Sample Client Instructions
Open Here This is a sample starter document for creating client instructions to include when mailing, or sending via e-signature, client packets for account transfers. I advise speaking with your…
Client FAQs
Client Frequently Asked Questions
Open Here This is a list of some of the most frequent questions advisors get from their clients during a transition. Take the time to craft clear, simple answers to…
Preparing to Transition Guideline
Preparing to Transition Guideline
Open Here This is a general outline of the article I wrote for Kitces.com. I suggest reading the article in full to better understand this document. You can read it here.
How to Break Away From a Protocol Firm
So You Want to Break Away from a Non-Protocol Firm
Ever since Morgan Stanley and UBS left the Broker Protocol, there’s been a bit of anxiety amongst advisors. While the decisions to leave were made to discourage advisors from severing…
Trending - The RIA Lift Out
TRENDING: The RIA Lift-Out
The RIA industry has grown quickly over the last few years. As general awareness of the industry has increased over time, so too has its popularity. For years, the focus…
Broker Protocol - Information Tips & Tricks
Broker Protocol Information – What you can bring with you and how to format it for success
Broker Protocol is a touchy subject these days. Are they in? Are they out? There’s a lot of trepidation about the topic. After all, the Protocol itself states that any…