TRANSITIONS

Built to move your business forward.

Changing platforms is one of the most significant decisions an advisory business can make. The concern is rarely just the move itself—it is the effect on clients, staff, operations, technology, and the continuity of the business.

ASN works with advisors to manage the transition, coordinating the people, requirements, and timing involved in preparing the business for launch.

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Start a Conversation →

THE TRANSITION ROADMAP

Advisors and their teams have visibility into the work ahead, the responsibilities involved, and the steps required to prepare the business for launch.

From planning through launch.

Two professionals, a man and a woman, working together at a desk in an office during sunset. They are looking at documents and a laptop, with shelves and large window in the background.
Two professionals, a man and a woman, working together at a desk in an office during sunset. They are looking at documents and a laptop, with shelves and large window in the background.

01 — DISCOVERY & PLANNING

Start with a clear understanding of the move.

Understand the business, transition objectives, client base, and requirements of the move. ASN works with the advisor to establish the priorities and key considerations before implementation begins.

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A woman in a beige blouse and dark pants is giving a presentation to two seated people in a conference room with large windows and plants, using a large digital screen with charts.
A woman in a beige blouse and dark pants is giving a presentation to two seated people in a conference room with large windows and plants, using a large digital screen with charts.

02 — PREPARATION

Put every requirement in place.

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Put the regulatory, custodial, technology, operational, and client requirements in place.

Two professionals, a woman and a man, sit at a desk in a modern office with dual monitors, spreadsheets and documents, discussing work.
Two professionals, a woman and a man, sit at a desk in a modern office with dual monitors, spreadsheets and documents, discussing work.

03 — TEAM READINESS

Prepare your team for what comes next.

Prepare the advisor and staff for the new operating environment through training on the systems, responsibilities, and processes they will use after launch.

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Two men in suits sitting at a conference table reviewing documents in an office with large windows and modern decor.
Two men in suits sitting at a conference table reviewing documents in an office with large windows and modern decor.

04 — TRANSITION

Coordinate every part of the move.

Coordinate client onboarding, account movement, and transition activity across the parties involved.

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Explore the Platform →
Business professionals in an office with large windows, dark blue accent wall, and wooden flooring; a man in a suit walking toward a woman standing near the glass door, with a woman at the desk in the background.
Business professionals in an office with large windows, dark blue accent wall, and wooden flooring; a man in a suit walking toward a woman standing near the glass door, with a woman at the desk in the background.

05 — LAUNCH

Begin operating within ASN.

Establish the business within ASN and transition into the broader operating environment.

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Explore the Platform →

WHAT ASN COORDINATES

One point of coordination across the move.

Transitions involve multiple parties and requirements moving at the same time. ASN coordinates across the advisor, staff, custodians, technology providers, and other parties involved in preparing the business for launch.

01

Regulatory & Business Setup

Coordinate the regulatory and business requirements necessary to operate within ASN, including brand and digital presence where applicable.

02

Custody

Work with the advisor and selected custodial providers to prepare for account opening, transfers, and the movement of client assets.

03

Technology

Prepare access to the systems and technology the advisor and staff will use after the move.

04

Operations

Prepare the operational environment and processes required to support the day-to-day business.

Advisor &
Staff Readiness

05

Provide training and preparation so the team understands the systems, responsibilities, and operating environment they will use after launch.

Client Transition

06

Coordinate the client-facing requirements associated with onboarding and account movement.

BUILT AROUND THE BUSINESS

Transition requirements vary by business.

A newly independent advisor and an established advisory business with an existing client base will not have the same transition requirements.

Firm size, client and account structure, custodial relationships, technology, staffing, and regulatory considerations all affect the move. ASN works with each advisor to determine the scope and requirements based on the structure and complexity of the business.

PATH 01

Launching a New Business

Establish the operating environment required to launch an independent advisory business on ASN.

PATH 02

Transitioning an Established Business

Move an existing advisory business while accounting for its clients, accounts, staff, technology, and existing operating relationships.

CLIENT CONTINUITY

The advisor stays at the center of the client relationship.

For many advisors, the greatest concern is the impact of the transition on clients.

ASN supports the advisor through the client-facing elements of the move, including onboarding and account-transition requirements, while the advisor remains responsible for client communication throughout the process. The objective is to reduce unnecessary disruption and help the advisor maintain continuity as the business moves to its new operating environment.

Diagram illustrating the elements of an advisor relationship, including communication, trust, continuity, client, and accounts, with advisor relationship at the center.

FROM TRANSITION TO OPERATION

The business is established on ASN.

Once the transition is complete, the advisor moves into ASN’s broader operating environment supporting the day-to-day operation and continued development of the business.

Operations

Compliance

Marketing Support

Billing

Technology

Investment & Business Solutions

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Explore the Platform →