Financial Advisors who want to change firms, usually don’t have the background, knowledge, or time to have numerous discussions with many broker dealers. Your decision to find your next broker dealer is an important one. You will want your next broker dealer to fit your practice, and that’s where we add value-in sorting through all of the firms and identifying the ones to fit your needs and personality.
We work closely with many broker dealers, where we know the key decision makers well. We will familiarize you with these firms so that you can understand their culture, products, platforms, and introduce you to their key executives. We will act as your “agent” to negotiate the best deal possible.
No matter how much or type of business you do, we want to work for you! Many of our competitors only focus on the large producers, we want to work with financial advisors of all backgrounds, product mixes and production levels.
Broker Dealer or RIA?
We work with several Registered Investment Advisors where you can join their firms, if you want to go that route. You can either “plug into” and existing RIA or we also work with consultants who will help you start your own.
Domestic or International Broker Dealers:We represent broker dealers who work with both domestic as well as international clients. We have placed financial advisors who have financial practices outside of the United States.
Small, Mid or Large Broker Dealers:
We represent small and mid-sized Independent broker dealers as well as larger national firms and also work with many firms that offer high payouts with low cost. We represent boutique firms that specialize in certain product sets. Clearing firms include: Pershing, National Financial, First Clearing, Raymond James, RBC, Wedbush, Southwest, Sterne Agee, TD Ameritrade, Schwab, and Core. We also work with some regional and national firms which are self-clearing such as Linsco Private Ledger, and Janney Montgomery Scott.
Whether you are looking for an independent, wirehouse, regional broker dealer, a selective broker dealer with high production requirements, a small broker dealer with low production requirements or the independent broker dealer with the highest payout or lowest ticket charges, or high transition compensation, we can help you find your new home. After you tell us what is important to you and your clients, we will do the “screens” to fine you the best fit possible.
We represent both full service broker dealers as well as specialist firms that focus on certain product sets. Some advisors are concerned with firms with high costs and production requirements. We do business with firms that satisfy all of these problems, and have worked with them for years to “grow” their firms. We have leverage with the firms that we represent, so we can get you the best offer available. Let us do the due diligence and negotiations for you.
DOL Friendly Broker Dealers:
We represent broker dealers who will go out of their way to support the financial advisor and to acccomodate both commission and fee-based products within retirement accounts. They understand that the advisor needs extra support during the chaos caused by the new DOL standards.
OSJ Producer Groups:
We are successful at placing OSJ Producer Groups, in order to find the best packages available in a competitive environment. Confidentiality is crucial during this process.
Broker Dealer Sales & Financial Practice Sales:
We act as consultants to sell broker dealers, or advisor financial practices. We have a vast network to market private sales. We work with broker dealers who want to sell their firms or simply outsource their back office functions.
The firms that we represent pay our fee, so contact us for a confidential conversation.
We look forward to your call!