Advisor Transition Fulfillment
Advisors spend their entire career establishing and developing a relationship with their clients. As this relationship develops with their client, advisors become an integral resource and trusted confidant . The advisor has a duty to take the necessary steps to ensure that their clients and family are being transferred to a qualified and prepared financial advisor.
Depending on the size of the advisors book of business, transitioning a book to a new advisor can be extensive and demanding on an advisors time. In this fast paced industry, this task would divide the advising teams attention, possibly impacting the expediency of critical decisions.
At Alchemy Theorem, our consultants assist the advisor in transitioning the book of business to the acquiring advisor by completing required documents in accordance with regulatory and firm policies. These completed documents facilitate a smooth and compliant transition between the registered representatives and clients when conducting the required Risk and investment profile review.