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Investment Transition Support Partner

Job ID: R-002970 Date posted: 05/09/2018 Primary Location SC-Fort Mill Other Locations CA-San Diego

The overarching goal of the Investment Transition Support Partner (ITP) is to help our Senior Investment Transition Partners uncover opportunities to bring net new advisory assets to the firm.  This will be done by running gap analyses for prospective advisors to identify items that may not be transferable upon transition while also helping to identify brokerage and third party asset manager opportunities to transfer to LPL Advisory Platforms. The ITP will also be responsible for partnering with our platform and product teams to manage and track requests for new relationships and create/manage a database of competitive intelligence to assist the Sr ITP in guiding new advisors to comparable LPL platforms, approved products, and money managers.

The ITP should display a full understanding of LPL products and platforms including: benefits, pricing, competitive landscape, tools and technology, have an expert-level mastery of Excel, and demonstrate a high level of professionalism, be able to develop strong relationships with business partners, and have an acute attention to detail.

Essential Functions:

  • Gap analysis – use tools to conduct an analysis of a prospective advisor’s current book of business (investment products, managers, strategies, etc.), to identify items that may not be transferable upon transition.  Work with business partners to ensure tools are functioning properly and data is accurate and up to date.
  • Sponsor & product tracking – collaborate closely with our product and platform teams to onboard new products, sponsors, money managers, etc., or find alternatives by creating a competitive analysis and presenting options to the Sr. ITP and prospective advisor for consideration, and create tracking to follow new onboarding requests through to completion.
  • Business Intelligence – create and maintain a database of products being transferred from other broker/dealers so the Sr. ITP can be more readily prepared to offer the best solutions during mapping consultations.
  • Training & Education – have an understanding of products platforms & services to match the most applicable combination of practice management, economics, features and functionality to the client's needs. May be called upon to host and promote monthly group training webinars in addition to individual training sessions on all aspects of the LPL advisory platforms.

Other Job Duties:

  • Leverage skills to diagnose advisor and client needs to provide appropriate options for consideration.
  • Assist Sr. ITPs with analyses of existing prospect portfolios.
  • Through training, maintain up-to-date job knowledge on proposal tools and other resources that assist advisors throughout the sales and service process with investors.
  • Maintain current knowledge and understanding of LPL's offerings, sponsor products, market dynamics, and industry trends.
  • Participate in appropriate professional development activities which may include pursuit of certain professional designations and continuing education.


  • Bachelor’s degree in Business, Finance, Economics or related is preferred
  • Series 7 and 63, 65 or 66 required (or must be obtained within 90 days of start)
  • 1-2 years of experience in Advisory Platforms and investment products preferred
  • Expertise using Excel (understanding macros, pivot tables, data mining) required
  • Excellent communication skills, both verbal and written
  • Creative problem-solving & effective decision making
  • Superior attention to detail, strong follow-up skills, and ability to multi-task

About LPL Financial:

LPL Financial is a leader in the retail financial advice market and the nation’s largest independent broker/dealer*. We serve independent financial advisors and financial institutions, providing them with the technology, research, clearing and compliance services, and practice management programs they need to create and grow thriving practices. LPL enables them to provide objective guidance to millions of American families seeking wealth management, retirement planning, financial planning and asset management solutions. LPL and its affiliates have more than 3,700 employees with primary offices in Boston, Charlotte, and San Diego.

Our Culture:

If you join LPL, you will join a culture that believes in delivering a world-class client experience and looks to all employees to contribute to that goal by sharing their creativity, experience, and passion for continuous improvement. As a destination of choice, our top priorities are growth and development, social responsibility, and financial health for our employees. 

We offer competitive compensation and industry leading benefits, including a wellness facility with onsite fitness classes, healthy meal choices, and a walk-in clinic. We support employee financial health through a 401k match, ESPP, and employee discounts. Work/life balance is our foundation and is supported through paid holidays, and paid time off (including time to volunteer). We foster a diverse work environment through Employee Resource Groups and diverse strategic partnerships.  

Join the LPL team and help us make a difference by turning life’s aspirations into financial realities. Please login or create an account to apply to this position. Principals only. EOE

*As reported by Financial Planning magazine, June 1996-2017, based on total revenue.

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