Transition Preparation
We are thrilled you are joining Financial Gravity and would appreciate the opportunity to assess your existing business in order to ensure a smooth and successful transition for both you and your clients.
Company Name
Total Amount of Households
Total Amount of Clients
Total Amount of Financial Accounts
Current AUM Amount
Custodians associated with the total current AUM
Client Servicing Levels
If you have servicing levels, please provide the level names
Do you have any outside accounts that need transitioned? If so, please provide the details below about those Custodians.
This would include 529s, 401ks, Alternatives, Annuities, etc.
Registration Transition Plan
Plan to U5 on a certain date
Plan to be dually registered
Not sure yet
Other
Projected Registration Date
Billing and Allocation Details
Please provide a summary of your billing details such as interval, method, breakpoints, and number of different fee schedules.
Intervals would include monthly, quarterly, and annually. Method would include billing in advance, arrears, on average daily balance, end of month balance. Breakpoints would include if the client gets a discount at the household level of account level for AUM amount. Fee schedules is a set calculation for fees. For example, if you charge clients different rates such as a 1% flat fee, a 1%/.75% tiered rate, and a flat 75% then you would have a total of 3 fee schedules.
What models are your clients currently invested? Please provide any methodology details about these models, who manages them, and how contributions are allocated within the accounts to align with the models.
If you have a detailed example, you can upload at the bottom of the form.
Technology
Provide the name of the software you currently use for the following systems. Please notate the ownership of the software based on who owns/pays for the software.
Rows
Name
Ownership
CRM
Yes
No
Client Portal
Yes
No
Performance
Yes
No
Planning
Yes
No
Trading
Yes
No
Email Server
Yes
No
Calendar
Yes
No
Booking Link
Yes
No
Document Storage
Yes
No
Current Domain
Domain Hosted Service Provider
Current Website
Documents
Please upload a copy of your current IAR agreement, along with any employment, confidentiality, trade secret, non-solicitation, non-compete, registered representative, or OSJ agreements that may exist, for review by our legal department. If any such agreements exist but you do not have copies, please identify which agreements you are subject to so we can note them accordingly.
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Please upload an example of what client prospects would receive from you such as marketing materials, Investment Contract, ADV2B, Firm ADV, Financial Planning Agreement, Investment Policy Statement, Risk Tolerance, etc.
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Please upload any additional documentation that you think will help us during this transition such as billing examples, model examples, monthly reports provided, etc.
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Remove all client names when providing these examples to follow compliance regulations.
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