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Transition Support

Transition Support

From paperwork preparation to account opening, let us handle your transition process from beginning to end.

As this is the first exposure you have to the high level of service we provide, we want to ensure you experience a smooth, painless transition.


We take care of the administrative tasks so you can spend this time with your clients. Here’s what we’ll do:

One of our experienced staff will be assigned to personally handle your transition to Cutter & Company. We will gather data to help us understand your business and the types of products and services you provide.

We will train your staff on our paperwork and procedures, compliance issues, and how to best use our marketing support and computer systems. We work diligently to get you transitioned as quickly as possible, so you can start enjoying your new freedoms and better payouts.

Transferring Your Business

You made the decision. It’s time to move your clients to start your own independent financial practice with Cutter & Company. You’re nervous and even a little afraid of what to expect. Let us take the mystery and fear out of the transition process. Here is a general overview of the steps you can expect to take at 30-60 days prior to your actual transition:

60 Days Prior:

  • Identify Office Location
  • Determine business name/website address availability. Subsequently file for Tax ID number and website domain to ensure it remains available for you to use when you officially begin your transfer.
  • Develop business logo – possibly consider hiring a graphic artist to assist you
  • Determine equipment and furniture needs for office.
  • Contact phone and internet providers to determine schedule for installation, if needed.
  • Begin to accumulate your allowable client data. Depending on your contract with you existing firm, you may be limited to strictly name and address. If your firm is a member of The Protocol, you will be allowed to take the following data:
    • Name
    • Address
    • Account Registration (NOT ACCOUNT NUMBER)
    • E-mail address
    • Phone
  • Go over lists of products and vendors to verify availability and allow Cutter & Company to accumulate necessary licensing forms

30-45 Days Prior:

  • Consider any staffing needs and begin the interview process
  • Consider outsourcing options for accounting and human resource functions. Alternatively, purchase software to perform accounting/billing, if being performed in house.
  • Arrange bi-weekly conference calls (or more frequent if necessary) with Cutter transfer specialist to go over details of transfer
  • Finalize an “Introduction Letter” to announce your move
  • Isolate any special situations pertinent to your clients, such as 72(t) distributions, routine ACH’s, etc.

7-14 Days Prior:

  • Confirm computer equipment compatibility
  • Train with Cutter staff on paperwork requirements for opening accounts
  • Request system access to be turned on when transfer date arrives
  • Establish e-mail address to be used when officially transferred
  • Complete required documents to join Cutter & Company such as Form U-4, fingerprint cards, Independent Contractor Agreement, etc.
  • Order business cards and letterhead (if operating under a “DBA” name)

For more information about our firm and the services we offer, send us a quick email or call the office. We would welcome the opportunity to speak with you.   |  1-800-536-8770