Triad Hybrid Solutions

Services & Support

Unique Services to Smooth the Transition

While the transition period is often a time of challenge and uncertainty, it also represents a unique, perhaps once-in-a-career opportunity to reshape your business for newfound growth. At Triad Advisors, we are committed to helping you successfully navigate the process from beginning to end.

Below we have created a snapshot of our transition process to provide you with a better understanding of our approach.

Making a Smooth Transition

The first thing we do is assign you a Triad Advisors Transition Specialist who will ensure minimal downtime. Our process is personal, consultative and matched to your unique needs.

Our specialists provide key transition services, including:

  • Working with you to develop a customized timeline and transition plan that best suits you and your practice.
  • Ensuring that you are comfortable with Triad's forms, policies and procedures.
  • Helping with initial licensing material completion, including the U4.
  • Ensuring timely approval of business cards, letterhead and other business related materials.
  • Tracking your brokerage account transfers from start to finish.

Triad provides access to Laser App software, which enables you to pre-populate most of your client account and transfer forms from your database at the click of a button, saving your staff countless hours of paperwork preparation.

Transitioning Your Practice

It's important to properly prepare the advisor and the advisor's office for registration with Triad. Here are a few key points.

Throughout the transition process, we provide all required forms and documents.

FormsAll appropriate forms must be completed and returned to your Transition Coordinator.

ReceivedThe Coordinator will ensure all required forms have been received and are in good order for processing on Affiliation Date.

Transitioning Your Practice

When applicable, you should provide a list of variable insurance carriers/licenses to your Transition Coordinator so we can obtain the necessary reappointment paperwork for each carrier.

Transition Rep CodesOur transition team will assign and establish a branch prefix and rep codes for your office.

We provide disclosure language and coordinate the approval of your business cards and letterhead. We also provide instructions for setting up email with Smarsh for archiving and surveillance.

Transitioning Your Clients

Guiding you efficiently through your transition period is as important to us as it is to you. While this is often a time of uncertainty, our experience shows that virtually 100% of clients make the change with you.

The preparation and submission of client paperwork can be divided into two categories: Direct and Brokerage.

Direct Business

Brokerage Business

If you plan to transition business to an outside custodian, our transition team will help coordinate their paperwork requirements from Triad's perspective. This will allow us to customize the transition timeline and prioritize tasks to best suit your practice. In addition, the transition team will work with you and the outside custodian to complete the set up with all three parties to ensure that business flows smoothly from the start.

Transitioning Your Clients

Direct Business

Any client account/position that is held directly with the product sponsor, fund company or carrier – such as alternative investments, mutual funds, annuities, or other options.

This business will move over by submitting a Change of Dealer form signed by the client to the product sponsor, fund company, or carrier.

  • A copy of the Change of Dealer form, along with a Triad Direct Account Application also signed by the client, will be provided to Triad Advisors.
  • You will need to establish an account for each direct account registration on iLink. To ease data entry burdens during this hectic time, you will have access to digital tools to help streamline this process.

Transitioning Your Clients

Brokerage Business

Any client account that will be held on the National Financial system (commission, TMAP, Private Managed Account).

These accounts will transfer over via the ACAT system from your current brokerage provider, including those accounts currently held with National Financial.

This business will require, at a minimum, a new account application, transfer of assets form, and a copy of a recent (within 90 days) statement. Specific training will be provided to you on additional forms you may need for fee accounts, periodic investments, systematic withdrawals, check-writing, corporate accounts, trust accounts, etc.