Transition

At Capital Guardian, we are a Protocol Signatory Firm and we’ve developed a simple and thorough process to help you transition from your current financial services firm. Our Transition Team will guide you through this process, while providing the necessary tools and information for you to be successful.

First, simply complete and return our Transition Questionnaire and setup a time to talk to a Transition Specialist. Once we have a better understanding of your business, we will develop a customized timeline and target date for your final transition. You will be assigned your own personal relationship manager, who will be your main point of contact throughout this process and once you join our firm.

The Transition Team will create a web-based Education and Training Program customized to your specific business model. Here you will learn about the advisor workstation, the commission and fee reporting system and the data aggregation and performance monitoring technologies.

Next, we’ll begin to set up or transition your business to Capital Guardian - from ordering business cards to installing the appropriate technology.

Then, together we will review registrations, licenses and insurance appointments. We will also review your product mix and request Selling Agreements as needed. We will walk you through the repapering process so you and your staff are familiar with all required Pershing and Capital Guardian paperwork.

After we've prepared you to join Capital Guardian, you will deliver a resignation letter to your current investment firm. At that time, licenses are requested and transferred to Capital Guardian. Once your registrations clear, you can begin populating new accounts and submitting account transfer forms. When you have transitioned your client accounts, we will reimburse all ACAT fees from your previous firm. You can also expect your client’s cost basis to transfer over, if it was maintained by the prior company.

As you build your successful practice, your Relationship Manager, as well as the Transition and Operations Teams will continue to provide support, ensuring that you and your staff are comfortable with the new processes, platform and technology offerings.