Transition Timeline PAS

Discovery

Transition

Live Date

2-3 Weeks prior to live date

4-6 Weeks prior to live date

Day of Resignation

• Gather Information Via Candidate Profile
• License & Background Review
• Transition Action Plan Created
• Your dedicated PAS Transition Lead will create and manage a comprehensive transition plan to help you prepare for a smooth transition.
• Comprehensive Book of Business Analysis
• We conduct a deep analysis of your current investment solutions and product platforms to assess asset transferability and product mapping

• Submit electronic U4 and Online Onboarding Application
• Submit Outside Busines Activity (OBA)

• Client Account Re-Papering and Communication Planning
• Your assigned PAS Transition Lead will partner with you to develop a customized account re-papering plan to engage your clients and re-establish their accounts.

• Identify Marketing Requirements
• Workspace Planning and Technology Setup
• Your workspace and technology connectivity will be prepared and ready for you on day one.
• Conduct Learning Needs Assessment
• Live Date Planning

• Our PAS Transition Support Team will be fully dedicated to managing all askects of your resignation. We partner with our internal stakeholders to perform all deliverables in a timely and efficient method, such as:
• Coordinating with internal license team to promptly process your U4 and license transfer
• Executing on client repapering and communication plan
• Submitting Sponsor Appointment Forms for processing (if applicable)
• Sending a Firm Welcome Announcement