$175MM AUM | $1.2MM Rev in
We are looking to grow through purchase, merger, succession planning, or other acquisition strategy.
We are independent RIA in Dublin, Ohio with comprehensive planning services, RIA Investment management, as well as separately owned tax practice for individuals and businesses with CPAs and EAs, insurance support for most most all policies & Elder Law Attorney services through an on-site Elder Law Firm. All services are available based out of one location as well as London, Ohio and we work with clients all over the country. We have created an incredible staff foundation & infrastructure of high quality service and expertise that has capacity for additional workload and easy to on-board a large number of new clients. We are also very interested in smaller firms that would like to merge for economies of scale and transition for retirement.
For our planning and investment management RIA, we use Fidelity as our custodian but we are open to and interested in finding a dual custodian relationships with Schwab or TD. (Any firm that is looking to work with us and utilizes either of those firms will not need to re-paper client accounts). We utilize Morningstar as our billing and performance reporting and we report to direct SEC. Our firm utilizes Redtail as our CRM system and E-Money for client portal and financial planning software. While we primarily work with individuals and have a specialty with state pension benefits, we also work with small businesses providing comprehensive services. Both RIA Owners are 50 years old with each over 25 years experience with one owner also dually licenced with PKS for outside B/D commission accounts. We primarily use this B/D relationship as an additional support to clients we take over that also might have old Variable Annuities or 529 accounts. We rarely sell new accounts although do feel there is a place for it in the right circumstance and are happy to service existing accounts. Last year, our firm had $0 in new sales in this B/D commission area.
Our firm maintains the highest levels of ethical standards and client service with a focus on education and putting the clients interest first. We receive a high level of referrals and our client turnover is non-existent (Maybe 1 per year due to moving or family in the business). Because of our comprehensive service capabilities, we are looking for B/D clients & RIA firms or any advisor looking to merge or transition out of the industry. We are also looking for Insurance books or tax & accounting business and while we work with clients all over the United States, our primary focus would be the states of Ohio and Florida. We are confident that we would be a sound option for any adviser / RIA looking for transition options.