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transitioning broker dealer firms

We know a transition can make you nervous

We have just a few steps to follow to make sure your clients are taken care of

Steps for a successful transition

Collaborate on a Strategy

Our team is here to help you through every element of creating a seamless transition. We’ll work with you to determine the ideal timing, set up compensation payments, craft client communications, and inventory your business.

Client paperwork preparation

Our dedicated transition team will train your staff on the paperwork required to move your business. Staff can pre-populate forms in a few simple clicks of a button and be ready for client e-signatures.

Staff Training

We’re here to lighten your load by training your staff on the logistical steps needed to transition your clients and get back to business quickly. After you have registered and obtained client signatures, our team works with your staff to complete the data entry required to establish all accounts, submit transfers, and track receipt of assets.

Easy Introductions

At Arkadios, we know advisors by name. Our boutique approach allows us to facilitate personal introductions between you and the points-of-contact for every department on our team.

Technological Integration

While we pride ourselves in our various technological offerings, we never want to create an overwhelming experience. As you begin the onboarding process, we’ll take the time to discuss each platform and help you integrate them into your process.

Arkadios Computing

Take it a step further

We created a guide to minimize churn and the exponential influx of inbound customer service opportunities. A tactical tool that you can actually use.

Download our transition guide below.

We’re here to help you position yourself as a true partner to your clients, even through a transition

“It’s been a great transition for both me and my clients. From a product and service standpoint, we definitely can offer way more here at Arkadios than I could previously…You can really run your business the way you want to run your business.”

Scott McQuilken
SMA Advisors

“Arkadios is accessible. There are always complexities that come up when you’re running an RIA; you want someone that you can bounce questions off of, that you’re able to get advice from, and their scale and model allow them to be supportive in that way.”

Alex Reffett
East Paces Group