Going RIA?

Going RIA?
Some "break away brokers" and current Independent Advisors who want to set up their own Registered Investment Advisory practice should call us. We can help you every step of the way. We have strategic relationships with firms that specialize in the legal and regulatory aspect of setting up an RIA. We have reviewed all of the platforms in the RIA space and feel that we work with the best clearing relationship in the industry that offers:

  •     Up to 100% payout.
  •     Competitive pricing on ticket and clearing fees.
  •     No proprietary products.
  •     A platform where there are no existing franchised advisors competing with you.
  •     Technology that is "light years" ahead of the competitors.
  •     Top Financial planning and performance software.
  •     Block trading and re-balancing tools.
  •     Integration with "Laser App" software to load all forms.
  •     Top Practice management systems to help the advisor grow.
  •     Programs focused on best practices and high performing teams.
  •     Dedicated service and sales team for your practice.

For those who don't want to go throught the legal, regulatory  efforts and time to set up their own RIA, we work with a network of RIA Firms where you can "plug" into their firm (either locally or from a distance) and conduct your advisory fee business as well as broker dealer commission business, but as a Registered Investment Advisor (RIA).  

We also have relationships with consultants who will work with you to set up your own RIA.

These firms are usually more appropriate for an advisor who is already doing more than 50% of his business as fee business and is considering moving to an RIA model.