Process for Transferring Assets

Here is a summary of the procedures for placing your investment holdings under the purview of Jonathan D. Pond, LLC.

1.  You will be sent forms to provide us with the information necessary to set up institutional level accounts at one or more of the following custodians:  Fidelity Investments, Charles Schwab & Co. and/or TIAA-CREF.  Other information will be needed if you want us to manage and monitor your workplace retirement plans (401(k), 403(b), TSA, etc.).

2.  Once the information is in hand, we can complete the account applications as well as prepare transfer of asset requests to move your investments over to your chosen custodian.  These will be sent to you for signature, along with an investment advisory agreement.

3.  After the accounts are set up and the transfers are complete, we can centralize all of the accounts on our system, and Jonathan can begin trading in and monitoring the various accounts in accordance with your investment plan. 


shadow bottom