Content

Overview

There are two Advisor Transition Dashboard Apps.

• Firm TA Dashboard

• Rep TA Dashboard

Advisor Transition Firm Dashboard

The Advisor Transitions Firm Dashboard displays a high-level view of all advisors' books of business in transition post affiliation by status (U4). The dashboard provides an aggregated view of all the investor accounts in transition to the firm's post affiliation.

The back office and executives use it to quickly see how many accounts across all advisors are transitioning to the firm. They can see the totals across all transitioning advisors or search by rep code or advisor and see the total number and status of what is in process, pending signature, pending transition, or complete.

Accessing the dashboards

Firm TA Dashboard

To open the app, select Firm TA Dashboard from the menu. Note that access to the dashboards from a menu may vary depending on your configuration.

In this example, the chart in the upper part of the screen shows four different statuses:

• In Process

• Pending Signature

• Pending Transition

• Complete.

In the lower part, the grid shows all Reps associated with these accounts. Select any Rep (DP9999 in the following example) to get the chart with the Rep's accounts and statuses. The upper left corner of the screen shows the corresponding Rep code or advisor's first/last name.

To see all accounts again, click Clear.

By default, the app displays all accounts. There are several elements in the app’s user interface.

• Pie chart of accounts by status

• List of reps

• Search filter

• Navigation buttons

You can search for a Rep. Select the Rep from the Rep Code, Advisor First Name, or Advisor Last Name dropdown (TR888), click the Search button, and click the Rep row on the grid.

Click the Next and Previous buttons to navigate through the list.

Rep TA Dashboard

Rep TA Dashboard displays all the clients and accounts in process for Reps at the individual advisor level.

To open a Rep TA Dashboard, select it from the menu. Note that access to the dashboards from a menu may vary depending on your configuration.

In this example, the chart in the upper part of the screen shows four different statuses separately:

• In Process

• Pending Transition

• Complete

• Pending Signature.

In the lower part of the screen, the grid shows information associated with these accounts.

The default view shows all accounts. This dashboard displays a list of all advisors' in-process items.

A user can navigate to view the list of work items by status by clicking the corresponding section of the pie chart. e.g., click on the Pending Signature section of the chart to view work items that are pending wet or electronic signatures.

Click the Next and Previous buttons to navigate through the list.

To open a work item to work on, select the row ('Thompson' in the example). The work item opens, and you can fill out the required information and execute other necessary actions.

Click the browser's Back button when finished or return to the dashboard by selecting it in the menu.

To see all work items, click ALL WORK ITEMS to get a list of every work item.