TRANSITIONS

Our Transitions team provides comprehensive support beginning with the initial onboarding and continuing for 60 days post-resignation. We work with the advisor and guide them through the entire transition process.

 

AT-A-GLANCE

  • Coordinate the transition process between RIA and broker/dealer

  • Provide license transfer and carrier reappointment support

  • 60-day on-site and virtual post-resignation support, including account opening and tracking

  • Provide comprehensive systems and platform training

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Jen Isaacs

Director of HR &
Business Services

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Kate Sweetman

Transitions Manager | Business Services

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Sarah Pochedly

Business Services
Associate

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Zachary Chubbuck

Business Services
Associate