$1MM AUM | $10,000 GDC in
Paradise Valley, AZ

No Baggage Here. Respected wholesaler with previous experience as a successful advisor, returning to private practice.

Recently, I left wholesaling for good in order to re-launch my own practice. Organic client acquisition will come from a marketing strategy that I have detailed in a written business plan. I am happy to share that plan with you.

While I am comfortable forming my own RIA, I would prefer to join an existing RIA or BD/RIA practice that has capacity for a junior advisor. I would be able to plug into an existing structure and you would be able to utilize excess office space and/or staff capacity. Your confidence in me as your successor would be cemented by seeing my practice grow. As you formulate a succession plan, this should be more appealing than bringing in a junior who wants to be handed clients and then await your retirement.

While I do not bring an existing book (other than my personal assets), I also don’t have a BD or custodian to leave. My personal finances are strong and I can provide industry references. We likely know many of the same people.

I have been a CFP for more than a decade. Because I believe that tax planning is a critical piece of overall financial planning, I am currently preparing to take the Enrolled Agent exams, with plans to complete all three by the end of 2019. In addition, because my marketing strategy focuses on federal employees and retirees, I will be sitting for the ChFEBC on or before November 4. I am not pursuing these designations in order to add letters to my business card, but for the specific knowledge that each imparts with the goal of providing expert advice targeted to a specific audience.

Let's have a conversation. Even if we turn out not to be a good match, having been a wholesaler throughout Arizona, New Mexico and West Texas, I may know someone who is.

Jeff Kluve
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