What you get when Continuity runs the operational lane
- Clarity: you always know what’s next (and what’s stuck).
- Consistency: paperwork goes out clean, not “close enough.”
- Control: exceptions are surfaced early and worked to resolution.
- Completion: we don’t stop at “assets transferred.” We track the tail until it’s done.
The Continuity execution process
Below is the exact process you outlined. In each step, we’ve also included what it looks like practically (deliverables, cadence, and what you can say to clients).
Step 1: Audit the Book
We review households, accounts, registrations, asset types, banking links, margin, retirement accounts, and transition risk before the move begins.
- “Surprise” paperwork requests late in the process
- Registration mismatches and signer issues
- Money movement gaps (ACH, deposits/withdrawals, bill pay/checkwriting)
- Underestimating special handling accounts (trusts/entities, inherited IRAs, margin/options)
- Household segmentation (top households, time-sensitive, standard, stragglers)
- Risk flags per household/account (what needs special handling)
- A realistic workstream plan (not a single “ACATS timeline”)
Before we send anything, we review each household’s accounts so your paperwork is clean and the process stays smooth. If something needs special handling, we’ll tell you early—once—with a clear checklist.
Step 2: Organize the Data
We structure the client, household, account, cash-flow, and transfer data into a usable transition file.
- Fast packet building without missing items
- Clear follow-up routing (who needs what, by when)
- Accurate transfer tracking and exception resolution
- A structured transition file (household + account-level)
- Banking/money movement notes (standing instructions, links, timing sensitivity)
- Transfer-specific notes (positions that may need special handling)
This is where the chaos gets eliminated. When the book is structured, everything downstream becomes repeatable: paperwork, follow-up, tracking, and completion.
Step 3: Client Data to the New Platform
We help prepare the receiving custodian portal, account setup, registration mapping, and new-account paperwork workflow.
- Accounts opened with the wrong registration/titling
- Workflow gaps where “someone thought someone else handled it”
- Paperwork going out before the destination workflow is ready
- Registration mapping and packet requirements aligned upfront
- Portal readiness for volume (templates, queues, submission norms)
- A defined workflow for standard vs special handling households
We’re preparing the new platform workflow so when your paperwork arrives, it’s straightforward—and we can process it without back-and-forth.
Step 4: Launch Client Authorizations
We coordinate digital and physical paperwork, signature routing, quality checks, and client follow-up so forms go out cleanly.
- Verify registration/titling against existing accounts
- Confirm signer set + required IDs/docs (trust/entity/POA)
- Confirm features that require separate steps (banking links, options, margin)
- Package consistently to reduce rework and delays
- Segment households (top clients first, time-sensitive next)
- Routing plan (call → email → text → second call)
- Single CTA per touch (sign, schedule, upload, confirm)
Hi [First Name] — quick check-in. We’re ready for your authorization step, and most clients complete it in 10–15 minutes. If you prefer, we can do it together on a quick call here: [Link].
Step 5: Manage the Live Move
We track submitted transfers, stalled accounts, NIGO items, custodian issues, missing signatures, and completion status.
- Submission status by account
- Exceptions / NIGO items by category (so root causes get fixed)
- Stalled accounts and next action required
- Completion status (not just “transferred”)
- A single source of truth for what’s moving and what’s stuck
- Priority escalation plan (top households first)
- Client update cues (only when action is needed or milestones occur)
Optional Step 6: Asset Recovery & Cleanup
For advisors who want deeper support, we stay involved with stragglers, residual cash, cost basis, RMD tracking, and unresolved transfer issues.
- Late responders (“stragglers”) and lingering paperwork
- Residual cash and partial position movement
- Cost basis follow-through and reconciliation support
- RMD sensitivity and retirement account tracking in the transition year
- Assets moved and exceptions resolved
- Banking / money movement working as expected
- Completion tail cleared (residuals, stragglers, cleanup)
Some items finish later (like residual cash or account features). That’s normal. We stay on the process until everything is fully working as expected.
How this feels from an advisor’s perspective
- You’re not chasing status: you have a scoreboard.
- You’re not rebuilding packets: quality control catches issues early.
- You’re not guessing on completion: the tail is planned and tracked.
- You’re not doing ops while selling: you keep focus on client conversations and confidence.
Next step: Transition Readiness Call
The readiness call is where we map your exact book complexity, define workstreams, identify likely exception categories, and confirm what “completion” will require—before you’re in motion. If you want a transition that feels controlled, start here.
Prefer to talk now? Call (480) 631-0700.