How it works for you


Independent Business Affiliate

Our typical Affiliates:

  • Wirehouse advisors turning independent
  • Independent Registered Representatives and IARs that want to outsource their back office and administrative tasks
  • Registered Investment Advisors

IBA Services:

  • Compliance
  • Office set-up and maintenance
  • Broker Dealer/RIA access
  • Client / Book Platform Transitions
    • Wirehouse to Independent
    • Independent to independent broker
      dealer and/or institutional platform
  • Technology consulting, set-up, and
    ongoing maintenance
  • Billing and reconciliation of client
    accounts
  • Branding, public relations, and
    marketing services
  • Legal and accounting services
  • And more…

Legacy Partner

Our typical Legacy Partners:

  • Independent advisors that want to monetize all or a portion of the equity in their business
  • Independent firms that want a partner who will allow them to focus on client facing activities thus creating more equity value in their businesses before monetization

Legacy Partner Services:

  • Compliance
  • Office management
  • Broker Dealer/RIA access
  • Technology consulting, set-up, and ongoing maintenance
  • Billing and reconciliation of client accounts
  • Branding, public relations, and marketing services
  • Business development
    • Strategic Partnerships with CPAs and Attorneys
    • Acquisitions and recruiting
  • Legal and accounting services
  • HR system implementation and ongoing maintenance
  • And more . . .

 

Wirehouse Advisors

Wirehouse Advisor Transition Services

  • Client / Book Platform Transitions
    • Transition Plan creation
    • Transition Plan execution
  • Office set-up and maintenance
  • Broker Dealer/RIA access
  • Licensing and registration for you and your staff
  • Technology set-up and ongoing maintenance
    • Email
    • E-Document storage
    • Trading and reporting software
  • Independent platform training for you and your staff
  • And more…