This position is for the greater Phoenix, AZ region.
Our client is an independent financial services practice whose advisors specialize in financial planning and investment management. Their mission is to help you and your clients achieve financial independence on your terms. They have grown to to 4 locations throughout Southern California and Washington and operate under the umbrella of a large independent firm. The team is comprised of financial advisors, client service professionals and operations specialists including a senior investment strategist, and a compliance officer.
AREAS OF FOCUS
It is expected that about 1/3rd of all financial advisors will retire over the next decade. This means nearly 100,000 advisors will be in need of a business continuity plan. Our client's company was built to be the premier solution for advisors looking for a partner that will tailor a succession plan to their specific needs.
According to the Financial Planning Association, 73% of advisors do not have a written succession plan. Are you like the majority of advisors who are not certain who, when and how you are going to transition your business? Our clients unique value proposition offers advisors the flexibility to define when and how they want to slow down and transition responsibilities to their team, whether it is as simple as a catastrophic buy/sell agreement or a formal continuity plan. By doing this, our client creates peace of mind for you, your family, your clients, and your employees.
Many advisors are ready to take a significant step back, but they are still looking for the right successor. Whether you are looking to fully retire or want to remain engaged in some capacity, our client's experience, customized approach and strong financials allow advisors to sell their business on their terms. Each of our client's deals has been uniquely customized to the specific needs and goals of the seller and their team.
It is no surprise that more advisors are considering going independent than ever before. Unfortunately, many of them have yet to move because of the many complexities of operating a business from managing compliance and legal requirements to hiring and managing employees. Whether you are looking for the blueprint to building an independent practice or want to outsource components of operating your business, our client's platform has the tools and resources you need to continue to own and operate your business.
We live in a complicated world. Technology is constantly changing and the regulatory environment is increasingly challenging. This is why our client knew they needed a partner when we made the move to independence. An industry leader was the clear choice with the culture of a family business and the scale and resources of one of the largest wealth management firms in the industry.
SUPPORT – CONCIERGE SERVICE.
Our client's standard level of service has attracted some of the industry’s top talent over the last several years. As one of their top groups, all of their advisors and operations support qualify for Concierge Service which provides expedited support and access to their best resources.
CULTURE – ADVISOR AND CLIENT FIRST.
It was vital that they found a partner committed to putting clients and advisors first. They have always strived to be Wall Street’s best alternative for clients and advisors looking for long-term relationships as opposed to quick transactions. The firm operates like a family business with the scale and resources of one of the largest wealth management firms.
TECHNOLOGY – FULLY INTEGRATED. YET FLEXIBLE.
They invest hundreds of millions of dollars annually - $250 million in 2017 alone - in technology to support advisor-client collaboration. Their award-winning platform offers fully integrated and sophisticated tools to provide a cutting-edge experience for their advisors. However, if you’re leveraging a third-party solution for CRM, performance reporting or financial planning, you have the flexibility to continue using them.
RESEARCH – BROAD SCOPE. DEEP COVERAGE.
Their research is a cornerstone of the organization. Whether your clients need equities, fixed income or mutual funds, you will not be disappointed with the extensive research capabilities. Their firm is one of the largest research organizations in the brokerage industry. Also, advisors have access to fixed income inventories from more than 100 broker/dealers helping to ensure that you receive competitive price execution.
FINANCIAL ADVISOR BILL OF RIGHTS