Transition Management

If you are transitioning to a new firm we have an established Transition Management process so that you spend your time in front of clients to execute the transition and to pull additional assets to your new firm.  Leverage our experience to ensure the most efficient and expedient transfer of client assets. In our program, the transition is more than just completing client paperwork—it includes your office set-up, technology integration; additional asset transfers; workflow establishment and ensuring that compliant processes are in place to protect your practice. Additionally, we will work with you to create a marketing package for your practice, including a website, business cards and letterhead.  When your clients receive their new paperwork, your firm will be fully established. Includes:

 

  • Paperwork Set-Up/Prep

  • Technology Integration

  • Workflow Establishment

  • Your Firm's Website, Marketing Brochures, Business Cards and Letterhead

Member Services

Back Office Operations

Includes the daily operational tasks needed to run your RIA.   Drop the signed paperwork off in a folder and we will submit and track all transfers.  Additionally, we update the performance reporting and fee billing databases on a daily basis.   We have a prompt and efficient process for your advisory fees and printing/delivery of your client’s Quarterly Performance Reports. Includes:

  • New Account Processing/Tracking

  • Database Posting and Reconciliation

  • Advisory Fee Processing

  • Performance Report Printing/Delivery

Compliance Program

We provide you a fully developed compliance process for your RIA or a turn key program if you want to use the Network RIA.   The Compliance program includes all regulatory filings, ADVs and advisory agreements.  We provide you with comprehensive supervision processes needed to run your firm.  Additionally, we make all regulatory filings and process your annual offer letter to clients. You build your practice and we will handle the compliance.  Includes:

 

  • Regulatory Filings

  • ADV Creation/Ongoing Updates

  • Advisory Agreement and Updates

  • Supervision Processes

  • Annual Offer Letter Delivery

Practice Management

We are experts in running RIAs and are always available to help you run your practice as efficiently as possible.  We also work with you to develop a systematic marketing program to grow your practice.  Finally, we are constantly reviewing new technologies in the market for independent advisors so you don’t have to worry about missing the next best software.  Includes:

 

  • Software Marketing Campaigns

  • Email Marketing Campaigns

  • Practice Efficiency Reviews

Members Expenses Covered

The Network will cover your software expenses, including your CRM, marketing software, performance reporting database, document storage/transfer software and your email retention program.  If you choose to use the Network RIA your E&O expense is covered as well as regulatory registration and filing fees.  The Network does not your pay office and computer hardware expense, staffing and personal health care insurance premiums. Includes:

 

  • Software

  • E&O Insurance (if Network RIA is used)

  • Regulatory Filing & Registration Fees (if Network RIA is used)

Network Fee

Membership fee ranges from $25,000 to $75,000 per year depending on the size of the Member firm and the level of engagement.  

888-519-3429 / info@investorfan.com