Case Study: A Solution for Keeping Client Annuities Through the Transition

Featuring Melissa Smith-White

RIA firms whose growth strategies include recruiting advisors from the wirehouses and regional broker dealers face a highly competitive landscape. But that’s not the only challenge. Making the move to fiduciary is a huge decision with potential risks for the advisors they are recruiting.

The prospect of losing client assets during the transition—and losing clients as well—can keep some advisors from ever making the move. Some assets are more portable than others. Annuities, in particular, can pose problems and leave the door open for assets to be poached by junior brokers at the former broker dealer.

Read this case study to learn how Melissa Smith-White of Kingsview Partners worked with RetireOne to design an Annuity Transition Program so their transitioning advisors preserve the continuity of their client relationships to and through the move to independence.