Step 1
Audit the Book
“We start by mapping what is actually in the book — households, accounts, registrations, product types, recurring cash flows, and high-risk account types.”
A practical framework for explaining how Continuity helps advisors move from book assessment to organized execution and follow-through.
“We start by mapping what is actually in the book — households, accounts, registrations, product types, recurring cash flows, and high-risk account types.”
“Then we create a clean transition file so the team knows who is moving, what accounts they have, what paperwork is needed, who signs, and what could cause delays.”
“Next, we help prepare the receiving-side workflow — account mapping, new-account setup, custodian portal preparation, and transfer paperwork.”
“Then we manage the paperwork workflow — digital packets, paper packets, signature tracking, missing items, and pre-submission review.”
“Once transfers begin, we track the move by household and account so we know what is submitted, what is stalled, what is NIGO, what transferred, and what still needs attention.”
“If needed, we stay involved after the first wave to help track straggler accounts, residual cash, cost basis issues, RMD items, missing paperwork, and unresolved exceptions.”
A book does not move as one clean block. Each household, account, signer, cash-flow instruction, tax detail, and cleanup item needs visibility. Continuity tracks the operational details that can delay transfers, confuse clients, or leave assets behind.
We track the relationship at the household level and the actual transition work at the account level, because one household can have multiple accounts, signers, registrations, transfer paths, and open issues.
We identify recurring money movement that clients notice quickly, including ACH links, systematic deposits, systematic withdrawals, checkwriting, direct deposit, and other cash-flow instructions.
We flag retirement accounts with year-of-move exposure, including clients taking RMDs, systematic income, withholding, or other retirement distributions that need special attention during the transition.
We do not stop at “assets received.” For taxable accounts, we help track whether cost basis and tax lot information followed the assets or still needs post-transfer follow-up.
Settled is not always finished. We help track residual cash, partially moved accounts, unsigned clients, unresolved exceptions, and other cleanup items after the first wave.
I don’t want to throw a generic price at you based on a 30-minute conversation. What I’d like to do is take what you shared, map the likely transition risks, identify what your destination firm is likely to handle versus what may still need ownership, and come back with a recommended scope. That will include what Continuity would own, what your team would own, what your destination team would own, the timeline, and the price.”
Then set the second call before you hang up:
“Let’s schedule a 30-minute follow-up for [day/time]. On that call, I’ll walk you through the risk summary and the recommended SOW.