For Financial Advisors

As an independent broker/dealer and RIA born out of the desire for faster responses from our back office, we understand the need to get things done quickly and accurately. Your time is best spent in front of your clients and prospects. Your personal Service Coordinator is here to help spot, troubleshoot, and resolve account issues quickly so you can spend less time correcting NIGO paperwork and more time meeting with new clients. We pride ourselves on knowing all our advisors by voice and understanding the intricacies of their unique business. We want to offer you this personalized service that meets your needs and feels like a genuine partnership.

Our Compliance & Standards team takes a holistic approach to every situation, assessing it, and making sure they take the right approach. This process has served us well, as we continue to maintain a good compliance record. We value integrity and accountability, and we expect the same from our partners. That is why we work closely with our advisors on everything from paperwork to marketing to financial institution audits. We don’t own any rubber stamps. Instead, we work with advisors to help them understand the rules and reasons behind policies and how to improve yourself for the next time. Our diligence serves to protect the advisor and the institution so advisors can focus on their clients’ future.

We provide you the opportunity to access tools you may need to better advise your clients and run your business. Either in-house or through our partner relationships, our reps have access to the cutting edge in technology and advisory tools to streamline your practice and work efficiently.