Join Zoop Alpha: your Launch Sequence
You've had the conversation. You like what you see. Here's exactly how you go from "I'm in" to approved and serving clients, who does what, and what to have ready. You won't be doing it alone.
The Launch Sequence
Seven steps. Most advisors move from signature to funded accounts in 30 to 45 days. Our Onboarding Coordinator walks you through every step, and the CRM tracks it, so nothing stalls.
- 1
You and our leadership team
Fit conversation
A straight talk about your practice, your clients and where you want to go. If you haven't had it yet, book an Advisor Discovery Call.
- 2
You · about 2 minutes
Say "go" with the form below
Your name, firm and best contact details. Tiffany Canfield, our Onboarding Coordinator, reaches out within one business day with your personal onboarding links.
- 3
You · about 20 minutes
Onboarding questionnaire
Your registration details, outside business activities, any other firm you'll stay registered with, and the personal brokerage accounts you'll report. Have the checklist on this page handy.
- 4
You · e-signature
Sign your compliance packet
Code of Ethics Acknowledgment (ZA-ONB-01), Outside Business Activity Disclosure (ZA-ONB-02), Dual Registration Request if it applies (ZA-ONB-03), Confidentiality Agreement (ZA-ONB-04), Compliance Attestation (ZA-ONB-05) and your initial Personal Securities Holdings Report (ZA-ONB-06, due within 10 days).
- 5
You · secure upload
Send your documents securely
Form U4 items, background check authorization, fingerprint card and statements go through our Advisor Secure File Upload. Please don't email them or send zip files.
- 6
Ed Bertelsen, Chief Compliance Officer
Compliance review and registration
Compliance reviews your packet, follows up on anything unclear, and files your registration. You'll get an email at each milestone.
- 7
You and your Onboarding Coordinator
Approved and live
You're set up on the platform, and we help transition your clients with calls, texts and emails alongside you, so no client is left behind or confused.
Have these ready
- Your CRD number, if you have one
- Your practice entity name (LLC or business name), if you use one
- Every outside business activity: insurance agency, tax practice, board seats, paid consulting, businesses you own
- If staying registered elsewhere: the other firm's name, CRD, SEC number and compliance contact
- Every brokerage or advisory account you, your spouse or your household can influence, with statements no older than 45 days
- About 30 minutes of quiet time for the questionnaire and e-signatures
Ground rules that keep it clean
- Documents go through the secure upload, never email, and never zip files
- Never send full Social Security or account numbers by email or text
- Don't solicit or move clients until Compliance confirms you're approved
- Anything a client or prospect will see goes through our Compliance Check first
- Questions at any step? Reply to any onboarding email and a real person answers
Start your onboarding
Would it be crazy to get your launch moving today? It takes about two minutes.
- Submit the form. It tells our team you're ready and opens your onboarding file.
- Watch your inbox. You'll get a confirmation now, and Tiffany follows up within one business day with your questionnaire and packet links.
- Have a quick question first? Book an Advisor Discovery Call.
What happens next: your onboarding file is opened, our team is notified, and you'll hear from us at every step until you're approved and live.
This page is for investment adviser representatives considering affiliation with Zoop Alpha Advisors, LLC, an SEC-registered investment adviser. Registration does not imply a certain level of skill or training. Affiliation is subject to compliance review and approval.