Why join an existing firm?
Offload Routine Tasks
Delegate operational and accounting processes.
Free Up Time
Spend more time serving clients and growing your practice.
Keep the ability to run your own business as you see fit.
A & I Financial Services LLC
A & I Financial Services LLC helps families and business owners grow their wealth, protect their hard work and choose how they want to be taxed. Headquartered in Englewood, Colorado, A & I Financial Services LLC was founded in 1986.
Their team of advisors has a long history of helping clients optimize their assets and income. A & I believes in careful planning, sound advice, and an array of alternative investments.
A & I is looking for two new Investment Advisor Representatives in 2013 and provides the perfect landing spot for someone breaking away from a large firm. They offer the office space, support staff, systems and safety of an established firm, plus the high payouts and integrity associated with an independent firm. A & I is money management agnostic, although active management beliefs permeate the atmosphere. A & I offers a continuous flow of qualified leads through event marketing, direct mail, and publicity.
They continue a fast growth path by working with a small number of successful professionals who serve a small number of successful families, helping them grow and protect their wealth and choose how they want to be taxed. Karl’s book, Go Tax Free, and their respected position in the Denver business community, differentiate A & I from the competition and give their advisors a leg up when talking with prospective clients.
For a complete list of representative requirements and to learn more about A & I, visit www.assetsandincome.com. For a confidential interview, contact Karl Frank directly.
Founders Financial has been serving independent financial advisors since 1994. Our interdependent, relationship-focused approach is grounded in understanding what is most important to financial advisors and serving as a partner in helping them pursue their enterprise dream.
To support the long-term growth and success of your enterprise, Founders delivers a robust suite of solutions to independent advisors, including business management and legacy building, comprehensive wealth and asset management solutions, virtual operations services, an integrated technology platform, and personalized education and training.
Founders was established to serve a distinct need in the financial services marketplace. Most enterprises serving financial advisors are structured based on a volume proposition, prioritizing economies of scale at the expense of relationship. Founders operates upon a value proposition, prioritizing relationship and serving a private community of independent advisors.
To learn how a partnership with Founders Financial can elevate your business, please visit foundersfinancial.com or call 888-523-1162.
HBW Advisory Services LLC
HBW Advisory Services LLC is a unique registered investment advisory firm located in Simi Valley, CA. Founded in 2008, they already have over $110 million in AUM and nearly 100 investment advisor representatives in 27 states—and growing.
We believe authentic active management and high-conviction portfolios provide clients the best opportunities to earn superior investment results over the long term. The firm offers strategies focused on three primary client objectives in our areas of proven expertise: high active share, income solutions and low volatility. We integrate ESG considerations into our fundamental research process across all strategies.
Interactive Financial Advisors
Interactive Financial Partners (a national SEC-registered investment advisor) is part of three companies jointly owned by Someone Who CARES™ —along with Unifinancial Corporation (a national risk management company) and OrganizAmerica (a national financial information services company).
IFA focuses on helping mid-market clients reach their financial goals and become financially organized. IFA has been an RIA for 10 years and has 45 independent advisors located across the country, with $157 million in AUM. Their management style is primarily passive and based on diversification across asset classes using models comprised of ETF investments. IFA has recently introduced a sub advisor that has a more tactical strategy, also investing in ETF alternative investments. Model selection is based on the client’s Investment Policy Statement and Personal Values Plan. Advisors and clients participate in an interactive process to design custom solutions for each client’s unique situation.
IFA’s growth plan is to add new advisors with an existing book of business and individuals transitioning into the business with existing relationships. IFA provides training, back office support, compliance, business and market planning assistance, and a concierge desk to aid advisors in the transition process. Their philosophy is to support independent advisors and their individual branding while recognizing everyone’s interdependence. The advisor fee and compensation schedule provide balanced and fair value to an advisor while improving a client’s financial situation. IFA provides a business development financial allowance, network expansion reward, leadership opportunities, competitive business buy out, and an annual conference. Business evaluation planning and consulting services are also available. The mission is to make life better by creating value and sustainable relationships between clients, advisors, and resource companies utilizing an effective system.
Symmetry Partners, LLC
Sidestepping traditional investment approaches and looking instead to academia for insight into the best ways to invest, Glastonbury, CT based boutique investment manager Symmetry Partners, LLC has built a thriving business providing portfolio management to individuals, retirement plans and institutions.
Founded in 1994 by two former Wall Street financial advisors, the firm has steadily attracted attention and assets by partnering with independent financial advisors looking for a client-focused, fee-based approach to asset management. With more than $6.6 billion* in assets under management and sub-advised assets, Symmetry's focus on helping investors optimize return potential while mitigating risk has attracted thousands of advisors across the country who outsource investment management and back-end support functions to Symmetry.
Designed to satisfy the needs of most types of investors, Symmetry offers three distinct investment programs.
- Structured Portfolios – strategically allocated, broadly diversified portfolios of institutional-class mutual funds from Dimensional Fund Advisors (DFA) that have been carefully constructed to benefit from targeted equity risk premiums.
- GlobalCore® ETF Portfolios – strategically allocated, globally weighted portfolios of exchange traded funds from Vanguard, iShares and State Street Global Advisors that have been carefully constructed to benefit from targeted equity risk premiums.
- Symmetry Bond Portfolios – a conservative, standalone fixed income solution that seeks to enhance investor returns through prudent exposure to maturity and credit risks. Mutual funds from DFA and Vanguard serve as the building blocks of portfolio construction.
In addition to their asset management programs, Symmetry specializes in offering marketing, branding, event resources, technological and operational support to advisors to help them gain visibility in their marketplace, increase efficiency and maximize productivity so that they can effectively grow their businesses. Symmetry helps advisors differentiate their business by:
- Helping them gain visibility in the marketplace.
- Offering portfolio analyses and hypothetical illustrations as well as other sales tools.
- Developing efficient practice management solutions to help target centers of influence, segment a client base, address staffing issues and earn more qualified referrals.
- Offering succession planning services for advisors looking to transition into the next stage of their lives
Symmetry Partners, LLC is an investment adviser registered with the Securities Exchange Commission. There can be no assurance that the future performance of any specific investment, investment strategy, product, or any non-investment related content made reference to directly or indirectly in this material will prove successful.
Learn more by reading the Symmetry advisor referral resource guide.
Verity Asset Management
Verity Asset Management provides discretionary investment management services to individual investors and a full range of fiduciary services to qualified retirement plan sponsors through a national network of both internal and external advisors.
From the home office in Durham, NC, the firm supports over 25 internal advisors located in NC, TX, VA, PA, and NY, and provides third party investment management services through a growing national network of external advisors and investment advisory firms. Verity’s affiliate, Verity Investments, Inc., Member FINRA, provides broker/dealer support for registered representatives who are dually registered as investment advisor representatives with Verity. Verity’s Investment Committee employs a broad tactical asset allocation methodology to build portfolios within the context of prevailing market trends. The asset class composition of their managed strategies is designed to adapt to changing conditions with a dual emphasis on opportunity and risk management. The committee places its primary focus on developing trends and areas of apparent undervaluation — creating opportunities for growth. To assure effective diversification, Verity closely monitors correlations and will selectively hedge in areas of considerable risk. Technical analysis helps guide entry and exit points for specific positions, particularly in securities where greater volatility is a consideration. Due to the changing mix of asset classes used over time, Verity’s strategies are not designed to correlate to the performance of any single benchmark index. Instead, investment policy is guided by the goal of participation in market gains while concurrently limiting the risks that could prove harmful to long term performance objectives.
Model portfolios are developed and managed both for retail client accounts held at Trust Company of America and for individual retirement plan accounts held on platforms maintained by TIAA-CREF, Fidelity Investments, and others at colleges, universities, hospitals, and other institutions throughout the country.
While several of Verity’s advisors sit on the firm’s Investment Committee, most focus on developing strong client servicing relationships, trade executions, and delivering managed models to their clients with the full support of the home office team, which centralizes and streamlines the administrative aspects of practice management.
Verity also specializes in the design, management, and oversight of defined contribution retirement plans in both ERISA and non-ERISA environments. Their services help retirement plan sponsors understand and meet their fiduciary obligations, and plan participants effectively prepare for retirement. Consulting and investment management services include plan design, investment selection and monitoring, discretionary portfolio management, personnel training, and plan review. For advisors interested in the higher education, tax exemptions, and employer plans markets, Verity’s Higher Education and Employer Plans divisions (both led by highly experienced industry professionals) are ready to help develop business opportunities.
Built from inception in 1996 on foundations of uncompromising integrity and relentless innovation, Verity welcomes creative dialogue with advisor groups who are exploring alternatives to their current business models.
Sell Your Practice
If you’ve developed a strong client base, but are looking to move on to a different career path or retire, Axos Advisor Services can help you make that transition while providing the best support for your clients.
We have strong relationships with a number of firms that specialize in growing through acquisitions. We can connect you to the right firm so that you can feel confident your clients are being taken care of and can sell your practice on your own terms.