17 See yourself as an RIA.
RIA LAUNCH GUIDE
Step 7: Prepare client paperwork.
Preparing client paperwork in advance can help you transition quickly, avoid disruption in service
to your clients, and reduce missed revenue. Understand the rules and limitations regarding client
data and communications at your current firm, and look to your legal and compliance partner
for guidance. If your existing firm participates in the Broker Protocol, you may be allowed to use
client data such as:
• Client name
• Account title
• Address
• Phone number
• Email address
Some questions to ask yourself as you prepare:
Schedule a business transition
consultation to learn more about
our transition team service.
Which clients/accounts do I want to bring with me?
Logistically, what is required at the company of record to move the account?
What role will each of my new team members play? Remember, it's important everyone
is assigned a responsibility as a part of the transition of clients.
