Transitioning

non aligned financial services licensee

We won’t lie, making the transition to a new AFSL/Dealer Group requires time and effort. We find some dealer groups are a joy to deal with when transitioning an adviser – others not so much, but we’ve dealt with them all!

Institution systems can be a hurdle, but we’ve never had an explosion yet. We’ve learned transitioning is always easier in practice than what you might believe, or maybe it’s just us!

After transitioning many firms and advisers over the past decade, we have experience with them all. We understand the time needed and expectations required to navigate a successful transition. Our Operational Compliance and Adviser Services Manager has developed an efficient, practical system to ensure the transition is particularly straightforward. While the perception is a transition will be a six month climb, we’ve had many transitions settled in under six weeks.

Investment Transitions

The most important part of transitioning to a new ASFL is transferring your book of business. FYG Planners’ priority is helping you transfer your clients’ assets with minimal disruption.

FYG has the ability to transfer your business and book of business with the least amount of disruption to your clients.

Our Operational Compliance and Adviser Services Manager will liaise with each financial institution the your firm has previously conducted business with. Our Compliance and Adviser Services Manager will continuously monitor the transitioning process and report regularly to the prospective group member.

Our team specializes in expediting the transition process and minimizing surprises, while offering support when you need it the most. Our Compliance and IT teams will map your datafeeds to our Xplan platform and ensure you can get back to serving your clients as quickly as possible.

If you want to get the process started, call us on 03 6440 3555

Or learn about the FYG Client Difference.