Market
RIA
Member Level
Premier
Last Activity
this week
General
Location
New York, NY, US
Profile Type
Buyer | Merge
Business Type
Registered Investment Advisor
AUM
$225,000,000.00
Gross Revenue
$1,700,000.00
# of Accounts
600
Avg Client Age
60
Overview

Dear Fellow Advisor,

I am writing to introduce myself and our firm, Sovereign Financial Group, Inc. We are an independent SEC Registered Investment Advisory firm with offices in:

-- NYC (The Chrysler Building)
-- Stamford, CT
-- Westport, CT
-- Yardley, PA

We are currently looking to team up with other advisors in the NYC Metro Area, CT and PA in order to better take advantage of economies of scale. The reason for this is simple. As we grow, all of the advisors in our group benefit: higher net payouts, reduced costs, and better branding / visibility within the communities we serve.

We have a great deal of infrastructure and value to offer to the right advisor looking to join an established, independent firm. Specifically, we offer the ability for you to maintain FULL INDEPENDENCE while having access to:

-- CUSTODIANS: Our advisors have access to both Schwab and Raymond James. This multi custodian structure helps us provide the best options for a client’s needs.

-- OFFICES: We currently have three beautifully appointed offices that cover NYC, Fairfield County and Bucks County, PA. We would also consider opening a satellite office at a location of your choosing – especially in the following counties in NY & CT: New Haven, Westchester, Nassau and Suffolk and Brooklyn.

-- MARKETING EVENTS: We host 10-12 client / prospect development events each year at the Capital Grille, Yale Club, Stamford Yacht Club, suites at Madison Square Garden and The Barclays Center. By joining our group, you would be able to join our events and invite your personal clients and prospects.

-- SUPPORT STAFF: We have an outstanding and established support staff that will help you with your clients and prospects: scheduling, appointment setting, on-boarding, etc.

-- PHONE & IT: We provide complete management and support for all of your IT & phone needs. Our IT stack includes: Black Diamond, Salesforce, eMoney, Riskalyze and more.

-- COMPLIANCE: We provide full compliance and regulatory support for your practice.

Because of our size and tenure, we are able to offer EXTREMELY competitive payouts to advisors that join our group. We keep our payout structure simple (see below). Keep in mind that our advisors do not pay for any of the items detailed above, so, you don't pay for office usage, staff, IT, etc... all of that is included in our payout structure.

We offer a true “plug and play” approach to independence. As such, our advisors retain FULL independence and full ownership of their clients. Our advisors can also choose to to "Brand" themselves as "Sovereign" or, they can also choose to brand themselves as their own DBA.

So, if you are looking to go independent, or, if you’re already independent and looking for more resources, lower costs and a better payout, we should talk -- we can offer 100% independence with 0% hassle.

Please call or email me and we can have a brief, confidential conversation to see if we offer a good fit for what you’re looking for.

Best regards,

Chuck
-----------------------------------------------
Charles L. Failla, CFP®
Principal
Sovereign Financial Group, Inc.
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Phone: ___-___-____
Fax: ___-___-____

Stamford Office:
35 West Broad Street – Suite 100
Stamford, CT 06902
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Manhattan Office:
The Chrysler Building
405 Lexington Avenue – 26th Floor
New York, NY 10174
___-___-____

Westport Office:
8 Wright Street – Suite 107
Westport, CT 06880
___-___-____

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