Our process begins with Q & A to learn more about you and your business. What is your vision? What are your goals? What do you need to build and maintain a business that gives you and your clients the most efficient and effective experience now and for years to come? Based on our discussions, we will review various advisor models, the economics, and define the relationship moving forward. We want to support your vision and guide you to make it a reality.

We will introduce optimal services, workflows, and solutions to maximize efficiency and allow you to focus on your business and your clients. We are here to support you with technology, investment strategies, back-office needs, and compliance support.

• Asset review
• Fee structure
• Ownership structure
• Technology
• Target clientele
• Compliance structure and support

We introduce partners to help establish your appropriate legal structure and define your unique brand. Through our partnerships, we help you build a relationship with the appropriate custodian and a timeline for training and transition. You will begin to gain familiarity with the tools and resources available to you and your business.

• Establish a relationship with custodian
• Negotiate pricing, support, and services
• Create and monitor a transition game plan and timeline

Leverage our partnership for:
• Corporate entity structure
• Partnership agreements
• Succession planning
• Benefits and payroll
• Office space and location
• Brand development, logo, and website
• Technology implementation

We implement your transition game plan by working with the custodian and our experienced transition team. We will train and assist your back-office with transferring data, account and transfer paperwork, investment solutions, and technology integrations. All while working with the custodian to ensure high-quality service and leverage enterprise pricing.

• Efficient account opening and transfer of accounts
• Eligible assets for transfer and options for adjustments
• Ongoing status checks and updates
• Training
• Technology
• Trading
• Resource navigation
• Experienced transition team working with you and custodian
• ADV and registration preparation for launch date

We work side-by-side with you and your team to eliminate disruptions in the account transition process. Our in-house technical support helps ensure that you have the proper hardware, software, and connections to run effectively and, most importantly, securely.

• In-house support and training
• Account and firm paperwork assistance
• Document review
• Technical support
• Procedures to securely upload documents
• Back-office support and communication with your custodian
• Introduction to service teams and support specialists

Our professionals have the expertise, contacts, and strategic partnerships required to make the process seamless and successful. Our services are tailored to fit your unique situation.
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After the transition and launch of your business, you can expect ongoing support and training as your business and the marketplace evolves. We assign a dedicated relationship manager to build custodial relationships and we believe in constant communication and alerts through our innovative systems. As your needs change, we are here to implement solutions to keep you on track. We are here to assist with:
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• Ongoing compliance oversite
• Maintain regulatory standards
• Ongoing business consulting
• Account maintenance
• Billing
• Technical support
• Secure data storage
• Cybersecurity awareness