Transition Execution Playbook: Plan, Clients, Accounts, Transfers

This page is your “do the move” playbook: build the plan, test it with your likely custodian(s), segment clients, communicate clearly, and execute account opening + transfers without losing control.

1) Develop a transition plan (timeline + owners)

Create a detailed plan that outlines steps, timelines, and resources. Then test your plan with your likely custodian(s) and their transition team—each custodian has quirks, and you want to find them early. fileciteturn1file0

Plan template (copy/paste)

• Target move window: ______
• Owner lanes: Compliance / Custody / Tech / Client Comms / Ops
• Dependencies: what must happen before what
• Top risks + mitigation: ______

2) Segment clients: in-person vs e-sign

Categorize clients into in-person and e-signature groups to better manage the workload and timing. fileciteturn1file0

Segmentation worksheet (copy/paste)

• Tier 1 (high-touch): ______
• Tier 2 (standard): ______
• Tier 3 (streamlined): ______
• In-person required: ______
• e-Sign eligible: ______

3) Communicate with clients (benefits + reassurance)

Inform clients about the transition, explain benefits, and provide reassurance about continuity. Consider a short video that highlights the “why” and the next steps. fileciteturn1file0

Client message structure

• What this means for you: ______
• What stays the same: ______
• What improves: ______
• Your next step: ______

4) Set up new accounts

Work with the new firm/custodian to establish new accounts and complete paperwork. The workload depends on your current and future custodian—coordinate closely with the transition team. fileciteturn1file0

5) Transfer client assets

Initiate asset transfers and use the move as a natural moment to revisit who you want to continue serving and which solutions you’ll use going forward. fileciteturn1file0

Execution checklist (simple)

• Plan pressure-tested with custodian transition team
• Client segmentation complete
• Client comms pack drafted (email + FAQ + call outline)
• Account opening workflow confirmed (steps + timing)
• Transfer tracking system in place (daily updates)

Next step

After the move: reset compliance, train the team, stabilize and optimize: Stabilize + Optimize.

Disclosure: Educational content only. Consult your compliance, legal, and tax professionals for advice.