HilltopSecurities HilltopSecurities
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Transition Support

Your Move.
Our Momentum.

When you’re ready to make the move, our transition team ensures your journey is smooth, seamless, and stress-free.

We deliver boutique-level support and deep expertise, handling every detail—from onboarding to technology setup—so you can focus on what matters most: building your brand and serving your clients.

You built your business. We support you in transitioning it your way. Because independence is more than a business model—it's a mindset.

What Sets Us Apart

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Dedicated Contact

A senior transition specialist provides personalized guidance and consistent support at every stage of your journey.

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End-to-End Engagement

Our team remains actively involved in every phase of your transition, ensuring a seamless experience with nothing left to chance.

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Transparent Reporting

We deliver clear, comprehensive reports from day one through completion, ensuring full visibility and accountability.

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Advisor Satisfaction

Our commitment to excellence is reflected in consistently high satisfaction ratings from advisors who have joined our firm.

Testimonials

See What Advisors Are Saying About Their Transition

“You see this immediate mobilization of a team of people to address every aspect of my practice ranging from managed solutions to 401k qualified plans. Those are for clients I’ve served for years, and the transition team captured the details, the logistics, and saw it through till I was on board. There was always someone there to help.”

 

Ric Kellogg

Financial Advisor Transitioned to Private Client Group

/ 01

“I had a whole team of people helping me get my clients moved over. They worked directly with me, my team, and even my clients to get the accounts opened in a timely manner. I called and the transition team picked up — no robots. They had a prompt response, or they connected me with the right person for that answer.”

 

Mitchell Liesmann | Liesmann Financial Services, LLC

Financial Advisor Transitioned to Momentum Independent Network

/ 02

“The transition was seamless from start to finish. I transferred 250 clients in about 30 days. They were amazing. If there was a problem, it was taken care of immediately. I didn’t have to worry. I wasn’t afraid that something was going to get left behind.”

 

Linda Schermerhorn

Financial Advisor Transitioned to Momentum Independent Network

/ 03
PREV
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Transition
Journey

We work with you to develop a transition plan tailored to your specific needs and goals.

Our team assists with every aspect of the transition process.

Once the transition process is complete, we’ll guide you into the next phase—introducing you to your dedicated support team and providing full access to our services and resources.


PRE-AFFILIATION PLANNING
PRE-AFFILIATION PLANNING
Before affiliation, our planning team will:

⦁ Map your transition strategy
⦁ Configure technology
⦁ Prepare customer communications & marketing
⦁ Finalize onboarding steps
TRANSITION SUPPORT
TRANSITION SUPPORT
Once affiliated, our full-service support team will:

⦁ Capture client data
⦁ Prepare and send account paperwork
⦁ Initiate account transfers
⦁ Confirm readiness of platforms and resources
POST-TRANSITION
POST-TRANSITION
After onboarding, your planning specialist will:

⦁ Coordinate a seamless handoff to the Momentum team for ongoing service and support

FAQs

Explore common questions on transition support.
  • Our objective is to transition approximately 85% of your customer accounts and assets within 75–90 days of your affiliation date.
  • While this is our target, it’s important to note that every transition is unique and may involve complexities that influence the timeline. Factors such as client responsiveness and advisor engagement play a significant role in determining how quickly the process can be completed. We work proactively to address these variables and keep the transition on track.

Depending on the type of transition, specific regulatory and contractual rules must be followed:

  • Non-Protocol Transition: Advisors are prohibited from taking any client data or soliciting clients before or after the move.
  • Protocol Transition: Advisors may take limited client information, including name, address, telephone number, email address, and account registration details. Pre-solicitation is not permitted; solicitation may only occur after affiliation.
  • Independent Advisor Transition: If permitted by your employment agreement and your current firm’s privacy policy, you may be able to take all client data. This is subject to review and approval by legal counsel.

Understanding these guidelines is critical to ensuring compliance and mitigating risk during your transition. Our team will work closely with you to review your specific situation and provide guidance tailored to your circumstances.

  • Collaborate with your Transition Partner to develop client communications that clearly explains your transition and its impact on your customers.
  • Please note that transition rules prohibit discussing your move with clients prior to your official affiliation with Momentum Independent Network.
  • Once your affiliation is complete, be prepared to promptly provide clients with information about your transition, Momentum Independent Network, and HilltopSecurities to ensure transparency and maintain client confidence.

Once you resign from your current firm, you will immediately lose access to all systems and will no longer be able to view client data or account information.

  • Contacting your clients as soon as possible after affiliation is critical to ensuring a smooth and efficient account transfer process.
  • Upon receipt of signed account paperwork from your clients, ACAT forms will be submitted to initiate the asset transfer. ACAT transfers typically take approximately four business days to complete.
  • For assets custodied away from Momentum Independent Network (MIN), the broker-dealer of record will be updated to reflect MIN as the new broker-dealer.
  • During the pre-transition phase, your Transition Partner will work behind the scenes to ensure all necessary systems access—including CRM platforms, trading systems, planning tools, and other applications—is set up in advance. This includes creating login credentials and establishing your email address so that you are fully prepared on your transition start date.
  • Your secure login credentials will be delivered to you on your start date, shortly after affiliation, ensuring a smooth and efficient onboarding experience.
  • Dedicated Transition Team to manage all paperwork and client account transfers, ensuring accuracy and efficiency.
  • Onboarding Specialists focused on technology setup and compliance requirements to streamline your operational readiness.
  • Marketing Support to assist with client communication strategies and materials, helping maintain transparency and client confidence throughout the transition.
  • U4 Filing: Your new broker-dealer will submit the U4 filing to FINRA on your behalf.
  • State Registrations: These may take anywhere from a few hours to several days to update, depending on the state’s processing timelines.
  • Insurance Appointments: Appointment processing times vary by carrier and may take longer than securities registrations.

Ready to Grow?

Contact our Advisor Recruiting team to explore what's possible for your practice.

Momentum Independent Network Inc. is a full-service broker-dealer and Registered Investment Adviser, serving the investment and capital needs of individual, corporate, and institutional clients, banking and thrift clients, and qualified accounts. MIN is a wholly owned subsidiary of Hilltop Securities Holdings LLC.