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Transition Support

We understand that transitioning your business is a significant task, and we deeply value the trust you place in us. That’s why we’ve developed a streamlined transition process designed to eliminate stress and make the experience effortless for you. Our transition team brings extensive expertise in every aspect of the process, including new accounts, operations, compliance, and registrations.


Our comprehensive services ensure a smooth and successful transition of your business to Andrew Garrett. The process is structured around four key stages, guiding you through account and license transfers while helping you utilize our practice management and marketing tools to elevate your business.


You’ll be supported by a dedicated transition team, acting to ensure a seamless experience throughout both the pre-onboarding and post-onboarding phases. With us managing the details, you can stay focused on what you do best.

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Protocol

Initiate Transition

  • Zoom about the transition strategy

  • Securities & insurance licensing and paperwork (Form U-4, fingerprints, employment contract)

  • State registrations

  • Collate client monthly statements

  • Prepare client paperwork

  • Zoom or on-site technology & product assistance 

Transfer & New Accounts

  • Communicate to clients

  • Guide clients

  • Introduce retail & institutional accounts

  • Client paperwork email, overnight, fax or DocuSign

Optimize Business with Integrated Solutions

  • Xtiva Financial Commission software

  • Protegent Surveillance Compliance 

  • RBC Nexus Back Office 

  • AppRiver email hosting/ Global Relay monitoring Email

  • Redtail CRM 

  • Evernet Money Guide Financial and Retirement Platform

Grow Your Business

  • RBC marketing material

  • Product vendor assistance 

  • 320 Mutual fund families

  • Advisory program 400 money managers 

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