Resources - Advisor Transition Services

My Resources

Non-Protocol Contact Info Data Collection - Template [EXCEL]

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.

$7 - Download

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.

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Information Gathering - Sample Template [PDF]

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.

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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.

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Client Letter - Announcement Letter Template [WORD]

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.

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Resignation Letter - Sample Template [WORD]

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.

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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.

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Client FAQs - Frequently Asked Transition Questions [PDF]

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.

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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.

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Compliance Checklist - Starting an RIA [PDF]

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.

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Insurance Checklist - RIA Coverage Options [PDF]

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.

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Attorney FAQs - Frequently Asked Contract Questions [PDF]

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.

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