A by-product of going Fee-Only is navigating the red tape. We are big believers in holistic financial planning and clients with existing brokerage-based investments which are in their best interest to keep, should not be negatively impacted by their advisor’s registration change. Our process is designed to legally cut the red tape, keeping those clients connected to their financial plan and primary advisor.

Our commitment is to deliver a long-term client and advisor-centric solution. From a client standpoint, they have a dedicated resource with extensive knowledge of these complex products versus becoming a house account at the former broker-dealer, leaving them without access to professional advice. Advisors benefit from streamlining the service aspect to a trusted strategic partner while retaining the client relationship and access to current account information to integrate into client’s financial plans. Lastly, they can offset what would be lost revenue by monetizing the value of the 12b-1 revenue connected to the brokerage-based accounts.