About Us

What Is an RIA?

The Registered Investment Advisor

The financial services industry is undergoing rapid changes. As the needs and desires of consumers change, firms engaged in managing money are also changing. A registered investment advisor (RIA) manages the assets of individuals and institutions. RIAs can be individuals, partnerships, or corporations.

The old model of a broker calling his clients with stock ideas is passing away. In fact, there have been a large number of client assets leaving this model, for several reasons, including high commission fees and inadequate diversification.

Why Become an IAR?

Advantages of Independence

What if you could build your own business – one where you call the shots, your clients benefit, and you focus on what you enjoy? What if we helped you think through the possibilities and gave you all the support and tools you need to help you build the firm you’ve always wanted to work for? Now you can.

Breaking away from a performance-focused culture. Having the freedom to serve your clients the way you think is best. And keeping more of what you earn. These are the three most frequently cited advantages of becoming an RIA.

Choose your own lifestyle

Imagine having the freedom to determine your own culture. You get to decide where you want to work. How you want to work. And with which clients. You get to choose how you want to spend your time, what direction you want to take your business in, what you stand for as an advisor – the life you want to live is completely up to you.

Serve clients’ best interests

As an RIA, you decide what products your client needs. In fact, you’ll have a fiduciary responsibility to choose the investments that you think are best for your clients. It’s a fiduciary standard of care that’s gaining support among regulators and advisors alike because it allows greater protections and transparency for investors.

Take control of your success

When you become an RIA, you’re in charge of your own destiny. There’s nothing holding you back. You’ll have the freedom to surround yourself with investment choices and business capabilities that are among the best in the industry. You get to choose the platforms. You get to choose the products. You even get to choose how your business operates and how your time is best spent. In short, you’ll be able to create and own the company you’ve always wanted to work for.

CRM

The Registered Investment Advisor

A CRM system is a critical tool for any advisor. However, often times, advisors may only scratch the surface when it comes to using a CRM system to its full potential. If you’re using your CRM as nothing more than a glorified rolodex, you may be missing out on additional functionality that could boost your efficiency and improve client service.

Applications Available:

  • Salesforce
  • Redtail
  • Advisors Assistant
  • Smart Office
  • Grendel
  • Envestnet
  • Junxure
  • Paretoplafrom
  • Persona
  • Salentica
  • Skience
  • Omniscient
  • XLR8
  • Advyzon
  • Sycamore
  • Wealthbox CRM

Practice Management

Helping Your Practice Succeed

Get the support you need. Tailored to your business, and delivered by our experts.

We recognize that no two firms are exactly alike. That’s why, when it comes to supporting your business, we spend a lot of time with you exploring opportunities that can help you be greater.

Our approach starts with meaningful conversation, and is grounded in fact-based research and insights, including our extensive benchmarking program. We believe that data helps drive good decisions, and we’ll work with you to help you understand how your firm is performing against your peers. Our experienced representatives will consult with you and use those learnings to create a tailored plan to help you meet your objectives and improve your business.

Five key areas we focus on:

• Business Models

• Planning

• Technology

• Client Engagement

• Teams

Making the Transition

We won’t trap you into the typical transition of Overpromise – Underdeliver.

The fear of the unknown can make the transitioning process a worrysome one. The many tasks that encompass this change can be overwhelming, however we have made our system as streamlined and painless
as possible.