Transition Process

Three simple steps to set sail

Your Personal Transition Specialist (PTS) will help map the course of your transition so that you are aware of mission-critical items on your transition timeline. Your PTS provides key transition services to ensure minimal downtime and address your questions and unique needs. Setting sail with Cape involves 3 simple steps:

GATHER

• Complete and submit Onboarding pre-hire material
• Obtain hire decision
• Set a target transition date
• Determine technology platform(s)
• Gather client statements and account information
  

SETUP

• Set-up transition “Kick Off” call
• Order stationary and business cards
  
• Website walk-through, transfer forms, new business forms, and disclaimers
• Complete client transition documents
  
• Submit info for ADV Part 2B brochure

FINALIZE

• Submit Cape U4
  
• Update insurance license and state registration appointments
  
• Deliver resignation letter to former broker-dealer
• Obtain technology platform logins
• Mail Cape compliance-approved letter informing clients of your move
• Transfer your clients to Cape Investment Advisory

“My vision is for Cape RIA to set new standards by balancing exceptional concierge service with a family environment.”

Jim R. Webb
CEO, Cape Investment Advisory, Inc.