We are switching BDs next month. For anyone who has done this in the past, how did you prioritize who you called first? Top down AUM? Did you factor in expected revenue over next 30 days? Did you schedule calls/meetings ahead of time? Likely will become registered on Friday - did you make calls over weekend? Any helpful thoughts or tips are appreciated!

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Top down AUM, Def call on weekend, time is essential.. Don't do it ahead of time


Consult a lawyer to make this plan ASAP. I did this six months ago and ended up in multiple investigations even with legal counsel.

Start with the easy ‘yes’ first. It’s psychological. A few easy to wins makes you calmer. Clients feel that.

Consult your legal team about how you can and cannot contact clients. Most advisors use the top down approach.

Broker Protocol of 2004, will explain your rights when leaving a BD/RIA , SECS S-P Regulations also will contain information. Just get information to make your lives stress free.

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