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Client Transition Process

Anchor 1
Team Meeting

"If everyone is moving, then success takes care of itself"

-Henry Ford

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).


  • Help your new Advisor take full advantage of the Client Transition Process by preparing ahead of time

  • Provide a turn-key Client Transition Process to every New Advisor who joins the organization to expedite and maximize their success with Client Transition

  • Create a series of professional Client Transition communication pieces New Advisors can seamlessly use during their transition

  • Identify all the pre-arrival, arrival, and post-arrival activities associated with providing appropriate Client Transition support for new Advisors

  • Coordinate all the tools and resources related to Client Transition in one place for easy access and reference

  • Use technology to make delivery and tracking of this Client Transition onboarding process easy


Pre-Transition Activities Recommended for the New Advisor

  1. The New Advisor should have conversations with other team members (if applicable) regarding the transition, so they are clear on who is coming with them.

  2. Provide the New Advisor with the following two items to ensure they know how to prioritize client contact and transition:

    • Client Classification Worksheet – This will clarify the vision for their ideal practice, including their ideal clients

    • Rightsizing Worksheet – This will instantly identify their highest value clients and those they may not want to transition to the new firm.

  3. The New Advisor can work on pre-announcements where and if appropriate.

  4. Provide the New Advisor with a copy of the Client Transition Process Flowchart so they understand this process.

Client Transition Process

  1. Confirm the individual(s) in the organization who is responsible for assisting the New Advisor with their Client Transition. This may involve more than one person - one who is the overall Client Transition coordinator and another who is direct administrative support.

  2. Have all individuals supporting the New Advisor carefully review the Client Transition Checklist to be clear on all Client Transition activities and resources they are responsible for, as it relates to:

    • Pre-Transition Activities

    • Transition Activities

    • Post-Transition Activities

  3. Reinforce the Client Transition Process (provided in Step 4 of the Pre-Transition Activities above) with the New Advisor so they have a guideline of how to successfully transition their clients.

  4. Make sure the New Advisor has access to each of the resources/tools/information required to facilitate the Client Transition Process with their clients.

  5. Create a directory on the shared drive so others can access it.

    • Label the main folder “Advisor Onboarding Process” (If not already created)

    • Create a sub-folder called “Client Transition Process”

    • Save the Client Transition Checklist along with all supporting resources in this sub-folder

    • Set permissions up for all those in the organization who should be able access this information

  6. Use your CRM to manage and track these activities so you know where you are in the process (alternatively, use the Advisor Onboarding Master Checklist in the initial best practice)

    • This means building an Action Plan or Workflow on your CRM to support each of these client transition activities.

    • Apply the workflow once the Fit Process is complete and you are set for flawless delivery to each and every New Advisor.

  7. Use your CRM to help the Nw Advisor manage and track their Transition Process & Welcome Process activities by building out an Action Plan or Workflow designed specifically for them.

  8. Use this process from start to finish with every new Advisor you add to your organization.

  9. Continue to update and fine-tune this process, when required, to ensure it is the right fit for you.


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