Plan with the right reviewers
Start with your own counsel and the receiving firm’s registration and compliance teams. Existing agreements and applicable law affect what you may discuss, retain, or transfer. Do not assume another team’s move sets the rules for yours.
Assign owners and dependencies
List registrations, systems, office logistics, communications approvals, and training. For each item, record an owner, due date, dependency, and fallback. Use anonymized practice information until a lawful, approved process permits sharing more.
Protect continuity
Prepare for delayed registrations or account transfers. Establish an approved communications process and a way to track service requests. A client retains the choice of where to keep assets; an advisor’s move is not automatic client consent.
Your next-conversation checklist
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These official sources support the concepts and provide current requirements. The practical workflow and questions are our editorial guidance.
General education. Your circumstances, agreements, and applicable rules matter. Review individual decisions with appropriately qualified professionals.