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
