Transition Management

Support that stays with you

You’ll be supported at every stage of transition in preparing your practice, setting up your office and completing your clients’ move to Raymond James.

Speak with a consultant
1
Home Office Visit
2
Preparation
3
Target Date
4
Implementation
5
Graduation

 

Home Office Visit

Let us show you Raymond James up close

We invite you to experience our advisor-focused culture with a tour designed singularly for you and your practice. In this behind-the-scenes look, you’ll be able to explore Raymond James and its platform, meet with firm leaders, and have your questions answered directly by relevant business unit professionals.

Schedule a home office visit

Explore the power of Raymond James

When you partner with Raymond James, you gain access to a wide range of departments, services and product offerings available. Plus, you have the ability to leverage our strategic partnerships and vendor relationships. You can align your clients’ services with their needs, taking advantage of our diversified offerings. Discover a few of our wide range of offerings:

For your business

For your clients

 

Preparation

We have a plan for every step

Once you’ve made your decision, we’ll get right to work. Our transition teams have the planning and experience to create a smooth transition – and the authority and resources to untangle any snags along the way.

Meet your transition team

You will be guided by a transition consultant, your home office liaison and point of contact for all operational aspects. You will also have a technology consultant who will help you develop and implement your customized technology plan.

Additionally:

For employee advisors

Branch support

Your branch manager and operations manager will be indispensable resources for questions, concerns and support.

For independent advisors

Independent business consultant

Your business consultant will be your partner, providing personalized guidance and an eye for details as you establish and build your business and make decisions large and small.

For independent RIAs

Business development team

During the process of establishing or transitioning your RIA, we will provide education and guidance around critical business decisions, such as engaging an independent compliance or legal consultant to set up your RIA entity.

Participate in training and education

Informed and refined by the experiences of thousands of financial advisors, our business coaching, education and training opportunities are available to assist in your transition.

Topics include:

• Exploring and understanding your business

• Determining the appropriate account types and services

• Account opening process and implementation

• Privacy and protocol requirements

Create a marketing plan

Raymond James Marketing + Agency Solutions has worked with hundreds of advisors to build impactful brands that are uniquely their own, supported by communications strategies and engagement plans designed to keep your practice front of mind.

Branding
Branding

web
Web

social media
Social media

custom printing
Custom printing

See how Raymond James Marketing + Agency Solutions can differentiate your practice

Build your technology infrastructure

Your technology consultant will start working quickly to begin assembling your practice’s technological backbone. You can select from a library of hardware, applications and entitlements.

Learn more about our advisor-focused technology

 

Target Date

Welcome to your new partnership with Raymond James

Congratulations on making a bold decision for your clients, your practice and you. These first moments are a good time to take a quick breather and think about all you’ve achieved so far.

The next part comes fast, but trust the plan – we’ve got this.

 

Implementation

Let’s welcome your clients

Your dedicated support combined with the vast resources available on call work with you to bring your clients over quickly with as little friction as possible and address any challenges that arise.

  • We take special care and focus to help you announce the change in your business, using an approach in line with your clients’ and your practice’s needs. Communication resources and platforms available include:

    • Website development, which will become your main communication hub to help build a stronger brand and reach prospective and existing clients.
    • RJ Connect, our tool for easy and systematic email and social media engagement.
    • Advisor Texting in our mobile app, an additional communication channel for you and your clients that meets all communication retention and review requirements.
    • Ready-to-go and customizable marketing materials at your fingertips.

  • As you and your team continue to communicate with your clients about the move and their individual needs, transition team members will be coaching and assisting with:

    • Information gathering

    • Account opening

    • Form creation and distribution

    • Technology training and support

    This stage can be hectic, but you’ll have the support of our experienced team to help you see it through.

    eSignature ready

    Where possible, and with your clients’ consent, they can execute essential documents with our secure digital signature system for speed and convenience.

  • Our automated fee management process efficiently handles Automated Customer Account Transfer Service (ACATS) fees and reimbursements based on a number of criteria, including affiliation type.

    Through our Advisor Access portal, you can easily check the status of client accounts in the ACATS process, as well as the status of fee credits.

  • Our service and technology educational offerings for branch associates span a wide range of expertise levels, from introductory onboarding courses to subject mastery and long-term career development plans.

    For advisors, we also offer a similarly expansive range of educational offerings. Some of these include, Tech Essentials and Tech Forward which provide a strong technology foundation to simplify work and increase productivity. Additionally, Tech Savvy provides advanced training on integrated practice management technology.

  • Your dedicated support team – including branch managers, support staff, service advisors and divisional managers, depending on your affiliation – will continue to connect and support you through multiple channels – from Microsoft Teams, video conferencing, Raymond James BOX, and more.

 

 

Graduation

We’re with you the entire way

With your clients on board, the liveliest part of your transition is over, but we’re still with you to make sure you are equipped to harness the power of the Raymond James platform and the support of our home office team.

graduation
Transition graduation

The early flurry of activity and client engagement will settle to a more typical pace as you proceed through the transition process and close in on your transition graduation.


Thrive

With the right resources at your back and the support you’ve earned from your clients, the sky’s the limit. We’re proud to be part of your story as you begin this new chapter.

Your move could start today.

Making a decision this big – even if it’s for the benefit of your clients, your practice and you – is no small thing. Our transition process ensures you’ll have a ready partner by your side all the way, helping you build your practice guided by your vision. Today, you could take the first step.

Talk to a consultant

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