Broker Check

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:


  • 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


  • 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


  • 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.