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Client Realignment Process


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Team Meeting

"Times of transition are strenuous, but I love them. They are an opportunity to purge, rethink priorities, and be intentional about new habits. We can make our new normal any way we want"

-Kristin Armstrong

These two videos are the same, but are offered in two different formats to accomodate our users. 

If you cannot access YouTube (the first video) click on Vimeo (the second video).



  • Have a well-defined process to successfully transition clients to another advisor

  • Understand how to adapt the process to be the best fit for your clients based on the circumstances

  • Ensure the New Advisor has all the information necessary to make a great connection with the clients they are receiving

  • Create a positive experience for the clients being realigned

  • Feel great about the professional process you are initiating to shift your clients

  • Understand the administrative CRM clean up associated with Client Realignment


To get started, please review Client Realignment – One Size Doesn’t Fit All.  This resource will provide you with a better understanding of the various situations where clients are realigned and how they may impact the Client Realignment process. 


Identify Clients for Realignment

  1. Identify who on the team will coordinate the Client Realignment Process - Within the Team, as they will be responsible for leading and managing this process. 

  2. Advisor(s) to identify clients suitable for realignment to New Advisor.

  3. Identify a manageable number of clients for realignment each month:

    • Choose a target based on the total number of clients to be realigned, the target time frame for completion, and capacity of New Advisor.

    • Alignment of 5-15 clients per month may be a reasonable starting point.

  4. Confirm the list of clients to be realigned each month.

  5. Ensure all information on file and contained within the CRM is complete and ready for realignment to the New Advisor.

  6. Provide the confirmed list of clients to be realigned each month to New FA.

  7. Coordinator will update the Advisors at the Weekly Team Meeting.

Initiate the Client Realignment  

  1. Carefully review the Client Realignment Process to customize steps to reflect the best approach based on your specific Client Realignment situation.  There are several important factors to consider:

  2. Schedule the Review Meeting with the client according to your standard process, making sure:

    • An email confirmation is sent out same day; and

    • Another phone or email confirmation is sent the day before the meeting.

  3. Depending on the situation, you may want to provide advance notice to the client so they know what to expect at this meeting in terms of the Client Realignment – this again will depend on the circumstances.  We never want to catch our clients off guard.  If you need to provide advance notice, you can engage in any number of or all the following activities:

  4. Conduct the first meeting using a Client Transition Agenda. Depending on the situation, this may be a dual meeting where both Advisors are present for a warm hand-off.

    • If both Advisors are there, identify who will discuss which item on the Agenda.

    • If the client has not received the updated Introduction Kit, this is the place to provide it.

    • There may be circumstances where this is a meeting to introduce the New Advisor, and the Existing Advisor would still like to participate in the next meeting to have a more comprehensive realignment process.  If this is the case, you would want to follow up the remaining follow up activities accordingly, so it makes sense based on the overall realignment timeframe.

  5. The day of, or after, the meeting, the New Advisor sends the Realignment Follow Up Email.

  6. New FA sends a Handwritten Card to thank the client for coming in and letting them know it was a pleasure meeting them.

  7. New FA makes a 30-day Follow Up & Care Call

  8. All future incoming calls & inquiries from these clients are directed to New FA.

  9. For situations where an Advisor is retiring, please see the Retired Advisor Follow Up Process.

  10. You may also wish to automate the Client Realignment Process using the CRM.

Administrative Follow Up

We also want to identify all administrative, systems, and behind the scenes steps required to make this realignment complete and compliant.


  1. Change client to appropriate FA code on firm reporting as appropriate.

  2. Change lead FA code on the CRM to reflect New FA

  3. Ensure all future Service Matrix activities managed and implemented by the FA are realigned appropriately from Former FA to New FA.

  4. Update any distribution lists, etc. resulting from this realignment.

  5. Ensure the Know Your Client, and any other compliance material required, is appropriately managed.

  6. Make any other changes related to physical files (i.e., filing cabinet location, labeling, etc.) required to reflect this change.

  7. Take care of any other administrative tasks based on team-specific systems and deliverables.


Identify Clients for Realignment

  1. Identify the clients for realignment and identify where they are being sent:

    • Firm House Account – Follow their defined process.

    • Virtual Platform – Follow the process of the virtual provider; or

    • To an Advisor outside of your team.

  2. Determine the start date and timeframe for the Client Realignment:

    • It may be progressively done over time.

    • It may be done all at once.

  3. Initiate the Client Realignment. 


Initiate Realignment to an External Advisor

  1. Have an agreement in place with respect to the number and type of clients being shifted, as well as time frame and related compensation (if any).

  2. Share all client-specific information contained within physical files, digital files, and your CRM, to the Advisor taking over these relationships.

  3. You can send out the Client Transfer Letter - To External Advisor when ready to initiate the process.

    • We recommend you include a biography of the New Advisor if possible.

  4. Have someone managing the process to shift the IA code to the other Advisor so they have access to the client’s information, and so they are paid on this client account from here on out.

  5. The New Advisor can use the Client Transfer Call - External Advisor about one week after the letter has been received by the clients being realigned.

  6. From here, the New Advisor will set a meeting with the client, update all paperwork, and proceed to completely service all aspects of the client relationship.

  7. Change the contact record on your CRM to ‘Former Client.’

  8. Update any of your distribution lists on email, newsletters, etc. resulting from this realignment.

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