Your Wealth Management Partner
We are a team seeking a financial advisory firm where the owner is either considering retirement and/or does not have a succession plans to carry on the firm legacy.
We understand the business you've spent years building is important to you
Your practice comes with unique requirements that only you can understand and serve. Passing on the torch would require a team with a high level of personal client service, investment prudence, and operational expertise. We fully acknowledge this notion, and we simply would like the opportunity to get acquainted with your practice to see if succession through our combined capabilities may be an appropriate successor when you decide to retire.
Our Services
Our team specialize in planning and transitioning your succession while maintaining the continuity of your firm’s legacy. Our value propositions include:
Operational efficiency in risk and compliance standardization, continuous monitor in communication channels, and consolidated business risk management processes.
Portfolio construction and high touch client services, with targeted customization to client's time horizon, liquidity, tax status, and legal status.
Fairness in ownership dealings for the principal to retire with full confidence in the firm's going concern, client assets, and firm legacy.
Our team consists of over 36 years of combined industry experience, and we hone the skills to transition, functionalize, and enhance your practice, including branch manager, supervisory compliance, ADV filing for State and SEC, audits, retail and institutional client services, and investment analysis and portfolio construction.
We are licensed with FINRA including Series 7, 9/10, 24, 63 and 65.
Our team also consist of MBA, CFA charterholder, and CA Life and health license.