Master Spreadsheet Template
Master Spreadsheet Template
Open Here This is a starter template for advisors who want to keep track of their progress during the transition process. It can also be used to import client data…
Data Gathering Lists PDF
Data Gathering Lists – PDF
Open Here These are general starter lists for understanding the information that is needed from a client in order to open a new account and establish the proper features. It…
Client Info Gathering Form Excel
Client Info Gathering Form – Excel
This is a starter template for advisors who want to customize their own client information gathering sheet. It is not a complete list and some items may not be required. Please consult with your custodian for specifics.
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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.