Advisor Transitions Made Simple

Financial services professionals are becoming increasingly mobile, and advisors are choosing to move from one broker-dealer or RIA to another in record numbers.

Unfortunately, the traditional process for switching firms while keeping client accounts is time-consuming, error-prone, and leaves firms and advisors open to legal and regulatory issues.

In this whitepaper, we break down different efforts to speed up this process, including the Protocol for Broker Recruiting. We also look at how tech solutions are revolutionizing advisor transitions and on-boarding.