$70MM AUM | $500,000 GDC in
We are a fee-only RIA specializing in fiduciary compliant, open architecture (read no packaged product) defined contribution plans. We have no B/D affiliation nor want one. All plans use only mutual funds, ETFs and CITs. We offer our ERISA clients best in class retirement plan services as 3(21) or optionally 3(38) fiduciary basis. ERISA plans range in size from $1 - $25MM.
Wealth management services are often a natural request by our business owners and their executives. Wealth management, like our ERISA plans consist of mutual funds, ETFs and the occasional equity. Our founder is an AIF® and CEPA so we have a strong bench working with business owners and their businesses. We don't have an account size minimum for wealth management, but we do impose a quarterly fee minimum.
We are interested in acquisitions of similar firms or potential merger with a complimentary firm.