Transition Support

Making the change to a new broker-dealer can be a significant challenge to your organization. Proper planning and an experienced transition team are key elements to a successful change of firms. With our legal, technical and back office support, the transition can be effected with minimal disruption and down time.

Typically, client accounts are fully transferred including cost basis information within 5 to 10 working days from the date that the transition paperwork is submitted to us. Our home office staff appreciates your needs and concerns and will guide you in the right direction every step of the way. In our experience, advisors who take advantage of transition support services, retain over 90 percent of their client assets.

Our Resources are at Your Service

We provide comprehensive transition services to make your move a smooth one, including:

Legal and technical support to identify and implement transition work steps.

Our team of transition specialists will assist you in 1) identifying and planning for any legal issues involved in changing broker dealers 2) determining whether to incorporate your business 3) developing a business identity and logo, 4) identifying and purchasing computers, office equipment and furniture and 5) producing a detailed checklist of action items to ensure a smooth transition.

Proprietary software for producing professional transition paperwork quickly and easily.

The Delta Client Management System (DCMS), is our proprietary software which automates the process of transitioning client accounts to our platform. DCMS can accept customer profile data in virtually any electronic format, data base or spreadsheet. The data can be uploaded directly to DCMS, eliminating the cumbersome task of manually producing transition paperwork. Once the client data is captured in the system, the advisor can then chose which forms need to be sent to the client for signature and the system will assign an account number and print each form with all of the required client information. (*Financial advisors should review Regulation S-P and their firm’s privacy policy with respect to the use of non-public customer information.)

Customized marketing materials to brand your business grow your practice.

Our marketing team has designed professional customizable marketing materials to brand your business with your name and logo. You can chose from a large collection of sample letters, customizable brochures, seminar hosting guides and detailed product brochures, describing your affiliation with Bank of New York Mellon and Pershing. In addition, your name and logo can be printed on your trade confirmations and monthly client statements. We have found that developing a professional brand image supplemented with high quality marketing materials can be a key factor in retaining clients and growing your business.

On-site implementation assistance at your office to ensure that it is fully operational on the day that you join Delta Equity.

At no charge to you, our transition will team will provide on site assistance at your office on all aspects of doing business through our firm. This includes: 1) ensuring that your broker workstations are fully functional 2) reviewing compliance and supervisory procedures 3) training you and your staff on processing transactions and client service requests and 4) following-up on all outstanding items. This team will remain on-site until your office is operational and functioning at full capacity.

Please contact our recruiting department at (800) 649-3883 ext. 213

Broker Inquiry Form