My Resources
What I've Created to Share
![Non-Protocol Contact Info Data Collection - Template [EXCEL]](https://www.advisortransitionservices.com/wp-content/uploads/edd/2023/05/Non-Protocol-Contact-Info-Data-Collection-Template-EXCEL-1.png)
Non-Protocol Client Contact Info Gathering Template
This is a data collection Excel template used for gathering contact information for former clients from public sources. The cells are conditionally formatted to change colors for easy viewing.
![Protocol Spreadsheet - Template [EXCEL]](https://www.advisortransitionservices.com/wp-content/uploads/edd/2022/05/Protocol-Spreadsheet-Template-EXCEL.jpg)
Broker Protocol Spreadsheet Template
This is an Excel starter template for advisors to use when exiting a Protocol firm. Please speak with an attorney before assuming this document is appropriate for your situation.
![Information Gathering - Sample Template [PDF]](https://www.advisortransitionservices.com/wp-content/uploads/edd/2022/05/Information-Gathering-Sample-Template-PDF.jpg)
Client Information Gathering Template
This is a sample PDF client information gathering form. It may not cover all the categories of information you need from a client and is intended to be used as a guideline for creating your own.
![Data Gathering Lists [PDF]](https://www.advisortransitionservices.com/wp-content/uploads/edd/2022/05/Data-Gathering-Lists-PDF.jpg)
Client Data Gathering List Example
This is an example list of client data that may be required during a transition. It is not specific to any firm or custodian. It is intended to be a guide and resource for education and research.
![Client Letter - Announcement Letter Template [WORD]](https://www.advisortransitionservices.com/wp-content/uploads/edd/2022/05/Client-Letter-Announcement-Letter-Template-WORD.jpg)
Client Announcement Letter Template
This is a very simple starter template for advisors in transition who want to send an initial communication to their clients via mail or e-mail. If you need assistance crafting your message, please reach out directly and I can help with that process.
![Resignation Letter - Sample Template [WORD]](https://www.advisortransitionservices.com/wp-content/uploads/edd/2022/05/Resignation-Letter-Sample-Template-WORD.jpg)
Letter of Resignation Sample Template
This is a very simple starter template for advisors in transition who need to submit a letter of resignation to their current employer. It's meant to be a guide, but the language is crafted bland enough to use as is.
![Master Spreadsheet - Template [EXCEL]](https://www.advisortransitionservices.com/wp-content/uploads/edd/2022/05/Master-Spreadsheet-Template-EXCEL.jpg)
Master Tracking Spreadsheet Template
This is an Excel spreadsheet template that can be used to build out a master tracking spreadsheet for your transition. It has room for client and account data and can be conditionally formatted to change colors based on certain criteria.
![Client FAQs - Frequently Asked Transition Questions [PDF]](https://www.advisortransitionservices.com/wp-content/uploads/edd/2022/05/Client-FAQs-Frequently-Asked-Transition-Questions-PDF.jpg)
Client Frequently Asked Questions
This is a list of sample questions clients might ask advisors during a transition. They are examples based on real questions clients have asked during transitions in the past. I've compiled the list from 15 years of experience.
![Questions to Ask Yourself - Before Starting an RIA [PDF]](https://www.advisortransitionservices.com/wp-content/uploads/edd/2022/05/Questions-to-Ask-Yourself-Before-Starting-an-RIA-PDF.jpg)
Questions to Ask Yourself Before Starting an RIA
This is a list of questions for you to consider when planning to start an RIA. It's a general resource meant to facilitate conversation and encourage education.
![Compliance Checklist - Starting an RIA [PDF]](https://www.advisortransitionservices.com/wp-content/uploads/edd/2022/05/Compliance-Checklist-Starting-an-RIA-PDF.jpg)
Starting an RIA Basic Compliance Checklist
This is a helpful resource to use when you're considering starting an RIA and want to research all the compliance aspects of the process. It is to be used as a guide.
![Insurance Checklist - RIA Coverage Options [PDF]](https://www.advisortransitionservices.com/wp-content/uploads/edd/2022/05/Insurance-Checklist-RIA-Coverage-Options-PDF.jpg)
Starting an RIA Basic Insurance Checklist
This is a helpful resource to use when you're considering starting an RIA and want to research all the insurance coverage aspects of the process. It is to be used as a guide.
![Budget Worksheet - Startup RIA Cost Calculator [EXCEL]](https://www.advisortransitionservices.com/wp-content/uploads/edd/2022/05/Budget-Worksheet-Startup-RIA-Cost-Calculator-EXCEL.jpg)
Startup RIA Budget Worksheet Cost Calculator
This is an Excel document I created with many of the categories advisors have expenses in when starting an RIA. I organized it and added formulas for your convenience.
![Attorney FAQs - Frequently Asked Contract Questions [PDF]](https://www.advisortransitionservices.com/wp-content/uploads/edd/2022/05/Attorney-FAQs-Frequently-Asked-Contract-Questions-PDF.jpg)
What to Review and Discuss With Your Attorney
This is a helpful resource to use when you're considering a transition and are having a discussion with your attorney about your current contract and the legalities of a future move.
Read the guest article I wrote for Kitces.com, "17 Steps To Successfully Transitioning Clients As A Breakaway Broker To An RIA"
Read some of the articles I wrote for advisors in transition
Subscribe to AdvisorHub Magazine and read some articles from my column
Listen to an episode of the "Mindy Diamond on Independence Podcast" that I was interviewed for
Join my mailing list - I only send updates when new articles are posted or new resources are added
Contact me directly for a free confidential conversation