For AdvisorsTransition

Your move, drawn to scale.

A move is a sequence. This is the sequence at Acrylic: what happens at each step, what you bring to it, and what your clients receive and sign.

Talk to us about joining What compliance covers
  1. 01A first conversation
  2. 02A fit review
  3. 03The written plan
  4. 04Registration
  5. 05Paperwork and repapering
  6. 06The first 90 days

The move, in six steps

  1. A first conversation

    We will meet you wherever you are. The conversation is about your book, your clients, how you work today and where you want the practice to go. You hear what a move to Acrylic involves, fees and paperwork included, before anything is signed.

    You bring
    Your questions. A rough picture of your book is enough.

  2. A fit review

    Where your clients' accounts are held today, and whether they sit at a custodian Acrylic has approved. Which planning, CRM and reporting tools you use. Any broker-dealer registration or insurance license you hold. How you bill clients today.

    You bring
    Where accounts are held, the tools you use, and your current registrations and licenses.

    Form ADV Part 2A, Items 10 and 12

  3. The written plan

    What moves, in what order, with names and dates agreed together and written down. Each task gets one owner and one date.

    You bring
    The dates that matter to you and to your clients.

  4. Registration

    You become an investment adviser representative of Acrylic. Your registration is handled with you, one step at a time, along with your brochure supplement: the document about you that your clients receive.

    You bring
    Your licensing history and your current registrations.

    Form ADV Part 2A, Item 5E. Form CRS, Item 5

  5. Paperwork and repapering

    Each client who moves receives Acrylic's Form ADV, with its conflict disclosures, before the account opens. Each signs an advisory agreement with Acrylic, which sets the fee schedule and any discretionary authority, and holds the account at a custodian the firm has approved.

    Acrylic handles the paperwork with you through DocuSign. In most moves, the majority of clients are moved within a couple of weeks; every book is different, and the written plan sets your dates.

    You bring
    Your client list, and the conversations only you can have with your clients.

    Form ADV Part 2A, Items 5A, 5E, 12 and 16

  6. The first 90 days

    Your first day starts with your sign-in to the Acrylic MAC. Then the rhythm the brochure sets: monthly statements from the custodian, monthly billing in arrears, and a review of every ongoing account at least once a quarter.

    You bring
    Your client meetings. The reviews follow the cadence further down this page.

    Form ADV Part 2A, Items 5B, 13A and 13C

Who does what

Nine pieces of work in a move, and who owns each one.

  1. Telling your clients about the move

    You

  2. The written plan, its dates and its owners

    You and Acrylic, together

  3. Your registration as an investment adviser representative of Acrylic

    Acrylic, with you Form ADV Part 2A, Item 5E

  4. Form ADV Part 2A and Form CRS, to each client before the account opens

    Acrylic Item 5E

  5. Each client's advisory agreement and Investment Policy Statement

    Acrylic, with you and the client Items 4B and 5A

  6. Account paperwork at an approved custodian

    The client, you and the custodian Item 12

  7. Monthly statements for each managed account

    The custodian Items 13C and 15

  8. Monthly fee deduction, with each client's written authorization

    Acrylic, at the custodian Items 5B and 15

  9. Your sign-in to the Acrylic MAC

    Acrylic

What each client receives and signs

The documents behind each account that moves, and where the brochure describes them.

  • Form ADV and Form CRS

    The firm's brochure and its relationship summary. Conflicts of interest are disclosed in the Form ADV delivered before the account opens. The current Form CRS is dated April 30, 2025.

    Form ADV Part 2A, Item 5E. Read Form CRS

  • Your brochure supplement

    The individual brochure supplement you provide: the document about you.

    Form CRS, Item 5

  • An advisory agreement

    It sets the final fee schedule and describes any discretionary authority. A client may end it without penalty within five business days of signing, for a full refund of Acrylic's fees, and after that generally with 30 days' written notice.

    Form ADV Part 2A, Items 5A and 16

  • A written fee authorization

    Fees are withdrawn from a client's account only with that client's written authorization.

    Form ADV Part 2A, Items 5B and 15

  • An Investment Policy Statement

    Written for each portfolio management client: their current situation, income, tax levels and risk tolerance. Each client is given a copy.

    Form ADV Part 2A, Item 4B

  • Statements from the custodian

    Sent to the client directly, each month, showing the assets held, their value and the fee calculation.

    Form ADV Part 2A, Items 13C and 15

Where the accounts go

Acrylic generally requires client accounts to be held at custodians it has approved, including Charles Schwab & Co., Inc., Interactive Brokers LLC and Mid Atlantic Clearing & Settlement Corporation. If your clients' accounts sit somewhere else today, the fit review looks at what would move.

Assets the firm does not hold, such as a client's employer-sponsored retirement plan, can still receive ongoing advice as assets under advisement, with their own fee.

Form ADV Part 2A, Items 4B, 5A and 12. Item 12 explains the limits of this practice and the conflict of directing accounts to these custodians. Read Item 12

If you hold other registrations

Adding advisory services to an insurance or brokerage business? If you hold a securities registration or an insurance license, this is how the brochure treats each one.

  • Insurance licenses

    Acrylic advisors may also have an outside affiliation, through a separate agency or individually as an agent, for placing insurance products. Those sales are not made in a fiduciary capacity, and their commissions are separate from advisory fees.

    Form ADV Part 2A, Item 10C

  • Securities registrations

    Many Acrylic representatives are also registered representatives of Brooklight Place Securities, Inc., a broker-dealer affiliated with Acrylic through common ownership. Acrylic has a selling agreement with Brooklight and pays it an asset-based fee on new assets under management for registered representatives who become investment adviser representatives of Acrylic. Item 10 describes this conflict.

    Form ADV Part 2A, Items 5E and 10A. Form CRS

  • The standard that applies

    In advisory work through Acrylic, you are held to a fiduciary standard. As a registered representative or an insurance agent, you work under the rules for that role, and that work is not conducted through Acrylic.

    Form ADV Part 2A, Item 10A

The first 90 days, and the rhythm after

Every move runs to its own plan. Once accounts are open, the brochure sets this rhythm for the accounts the firm manages on an ongoing basis.

  1. Day one

    Your sign-in to the Acrylic MAC, with your tools in one place.

  2. Each month

    Each ongoing advisory client receives a statement from the custodian. Fees are paid monthly, in arrears, and a new account is billed pro rata for the rest of its first month.

    Items 5A, 5B and 13C

  3. Each quarter

    Every ongoing account is reviewed at least quarterly, and more often when markets or a client's circumstances call for it.

    Item 13A

  4. Each year

    Acrylic engages with each ongoing advisory client to review the portfolio and decide whether anything should change.

    Item 13A

Talk to us about joining

Step one is a conversation. Tell us about your book and where it is held. The conversation covers what a move to Acrylic involves, fees and paperwork included.

Talk to us about joining

Advisory services through Acrylic Financial, Inc., an SEC-registered investment adviser, CRD 288263. Registration does not imply a certain level of skill or training.