Services
Advisor Transition Services (ATS) provides comprehensive support tailored to financial advisors navigating the complexities of transitions. Our expertise is categorized into three key service areas, which can be offered individually or combined for a complete project. Our goal is to provide tailored solutions that guide you through every critical step of the transition process, ensuring you have the tools and resources needed for success.
Transition Consulting
Transitioning your business is a significant step, and ATS provides insight and expertise to guide you through the process with confidence.
What We Provide
- Tailored Strategies:
- Actionable advice specific to the situation, whether transitioning a book of business and/or starting a new RIA.
- Connection to Experts:
- Introductions to trusted professionals, including attorneys, payroll providers, and technology consultants.
- Comprehensive Planning:
- Clear plans, checklists, and resources to help you confidently navigate each stage of the transition.
- Collaborative Calls:
- Participation in discussions with our team and other providers to ensure alignment across all parties.
Who We Work With
- Advisors starting or joining RIAs.
- RIAs that are recruiting advisors.
- Firms going through mergers or acquisitions.
- Aggregator RIAs seeking third party support and process consulting.
- Broker-Dealers seeking process improvement strategies.
Data Manipulation
Managing client and account data during a transition can be overwhelming. ATS streamlines this process using an efficient mix of customized technology and industry experience.
What We Provide
- Data Organization:
- Comprehensive list of suggested reports for data gathering.
- Consolidation and reconciliation of all provided data.
- Enhanced due diligence and identification of missing or incorrect data points.
- Organization of data into its respective categories.
- Creation and customization of project management tracking spreadsheet.
- Data Utilization:
- Completion of applicable process templates.
- Customized template creation and filling.
- Custodial paperwork preparation.
- Preparation of firm-level documents (Example: advisory agreements).
Who We Work With
- Advisors seeking support with data preparation.
- RIAs transitioning advisors onto their platform.
- Custodians onboarding advisors or teams.
Transition Support
Every transition has unique challenges, and ATS provides operational assistance and project management expertise to keep your transition on track.
What We Provide
- Operational Support:
- Account opening and document preparation.
- DocuSign template creation, packet preparation and distribution.
- Tracking, issue resolution, and progress reporting.
- Custom Resources:
- Quantitative dashboards and task delegation tools.
- Process establishment and team member training.
- Flexible Assistance Options:
- Onsite support for in-office project management.
- Virtual support for remote project management.
Who We Work With
- Advisors starting or joining RIAs.
- RIAs transitioning advisors onto their platform.
- Firms going through mergers or acquisitions.
- Custodian onboarding advisors or teams.