Welcome!
You’re probably here because you read my article on Kitces.com. If you did, thank you for taking the time out of your day to do so. If not, you can click on the link below or just browse the provided resources. I want to thank Michael Kitces for posting my content on his blog. He really knows how to make a piece of content valuable and in-depth. I’ve provided most of the resources I mention in the article below, as well as some additional ones. If you have any questions, reach out directly to me at grier@advisortransitionservices.com.
About Me
I’m Grier Rubeling, owner/operator of Advisor Transition Services. I have a background in client services and operations. I’ve worked in various support roles with advisors my entire career. First as a client service associate in the wirehouse world, then as the director of operations for an RIA. I started Advisor Transition Services in 2018 so I could be my own boss, put my marketing degree to work, and help as many advisors with the transition process as possible. If you’re looking to make a move, or are in search of ways to beef up your internal transition team for future acquisitions, I can help.
Resources Mentioned In the Article
![Protocol Spreadsheet - Template [EXCEL]](https://www.advisortransitionservices.com/wp-content/uploads/edd/2022/05/Protocol-Spreadsheet-Template-EXCEL.jpg)
Broker Protocol Spreadsheet Template (EXCEL)
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.
![Data Gathering Lists [PDF]](https://www.advisortransitionservices.com/wp-content/uploads/edd/2022/05/Data-Gathering-Lists-PDF.jpg)
Sample Data Gathering Lists (PDF)
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.
![Master Spreadsheet - Template [EXCEL]](https://www.advisortransitionservices.com/wp-content/uploads/edd/2022/05/Master-Spreadsheet-Template-EXCEL.jpg)
Master Spreadsheet Template (EXCEL)
This is an Excel spreadsheet template that can be used to build out a master tracking spreadsheet for your transition. It can be conditionally formatted to change colors based on certain criteria.
![Preparing to Transition Guideline [PDF]](https://www.advisortransitionservices.com/wp-content/uploads/edd/2022/05/Preparing-to-Transition-Guideline-PDF.jpg)
Preparing to Transition Guideline (PDF)
This is an outline of the Kitces articles summarized for your convenience because of the depth of information provided. It is to be used as a guide for planning and due diligence.
![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 Transition Questions (PDF)
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.
![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 (WORD)
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.
![Client Instructions - Sample Template [WORD]](https://www.advisortransitionservices.com/wp-content/uploads/edd/2022/05/Client-Instructions-Sample-Template-WORD.jpg)
Client Instructions Sample Template (WORD)
This is a sample Word document for client instructions to potentially include in physical client packets to be mailed during a transition. It is to be used as a guide and adjusted to fit the needs of the advisor's particular situation.
![Resignation Letter - Sample Template [WORD]](https://www.advisortransitionservices.com/wp-content/uploads/edd/2022/05/Resignation-Letter-Sample-Template-WORD.jpg)
Resignation Letter Template (WORD)
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.
![Client Letter - Release of Information Template [WORD]](https://www.advisortransitionservices.com/wp-content/uploads/edd/2022/05/Client-Letter-Release-of-Information-Template-WORD.jpg)
Client Release of Information Letter Template (WORD)
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 a legal document and is meant to be a guide.
![Information Gathering - Sample Template [PDF]](https://www.advisortransitionservices.com/wp-content/uploads/edd/2022/05/Information-Gathering-Sample-Template-PDF.jpg)
Information Gathering Template (PDF)
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.
![Information Gathering - Sample Template [EXCEL]](https://www.advisortransitionservices.com/wp-content/uploads/edd/2022/05/Information-Gathering-Sample-Template-EXCEL.jpg)
Information Gathering Template (EXCEL)
This is a sample Excel 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.
![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)
Attorney Frequently Asked Questions (PDF)
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.
Additional Resources
![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 (PDF)
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 Compliance Checklist (PDF)
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 Insurance Checklist (PDF)
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 (EXCEL)
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.
Articles You Might Like
Broker Protocol: Information Tips & Tricks
This article breaks down the specifics of the Broker Protocol and includes tips and tricks for how to gather and format Protocol data for success during the pre-transition preparation process.
5 Common Transition Pitfalls and How to Avoid Them
This article mentions a few common transition pitfalls and how to avoid them, and it also lists the 5 major roles that team members should be playing during the transition process.
How to Communicate With Clients During a Transition
This is the article I mentioned about client communications and what things you should be considering when having those initial conversations with clients during a transition.
Raymond James vs Charles Schwab: An RIA Model Comparison
This article breaks down the differences between Raymond James and Charles Schwab as custodians for RIAs. The comparison is focused on operations and the transition process.
The Key to a Successful Transition is Asking the Right Questions
This article is a great resource for what questions you should be asking of all the parties involved in the transition process. From your contract attorney to the custodian's internal transition team.
The Top 5 Action Steps to Transition Effectively in a COVID World
The title of this article may not stay relevant for very long, but the content within the article will. COVID changed the way we do things and those changes are here to stay.
Additional Options
Read additional articles I've written for advisors in transition
Browse some of the other resources I've provided for advisors in transition
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
Read some of the articles I wrote for a column in AdvisorHub Magazine
Listen to an episode of the "Mindy Diamond on Independence Podcast" that I was interviewed for