$700MM AUM | $6MM GDC in San Ramon, CA

Market
RIA
Member Level
Premier
Last Activity
this month
Listing Age
171 days old
General
Compatibility
Location
San Ramon, CA, US
Listing Type
Buyer | Merge
Business Type
Registered Investment Advisor
Fee 0% Commission 100%
Gross Revenue
$6,000,000.00
# of Accounts
1,800
Avg Client Age
56
Overview

Are you interested in building your business and building equity in your practice?

Do you want to be independent without the overhead of starting your own firm?

Do you want to grow your business? (We have too many leads, not enough planners, and a full time staff of 6 people dedicated to generating prospect meetings!)

Do more of what you do best and let us handle the rest!

Let us help you grow your practice. We provide an extensive technology platform, complete office support, and high payout. Most important, we set your appointments and find you more clients! You’ve never seen anything like this before! This is a very unique opportunity for planners with their own book who would prefer to focus on their clients and not on the day-to-day of running a practice.

Who We Are
• Insight Wealth Strategies is an SEC Registered Investment Advisor Firm
• Offering comprehensive fee-based financial planning services for 17 years
• Multiple office locations to offer clients convenience and flexibility
o California – San Ramon, Livermore, Point Richmond
o Texas – Houston
• Fully staffed team to handle all facets of operational support for advisors and clients
• 10 Financial Planners – 20+ member support team
• 98% client retention rate year over year
• Fiduciary capacity – we are thoughtful and strategic in monitoring our holdings, proactive rather than reactive

What We Can Provide

• Fee based Hybrid or Dual-registration capabilities to enable advisors to offer commission-based and insurance business when appropriate
• Comprehensive Financial Planning centric
• Reliable lead generation to provide significant opportunity to increase AUM (we set all your appointments!)
• Best in class technology to provide efficiency and scale to your practice
• Custodial relationships at Fidelity and Schwab for client accounts
• Proprietary equity models managed by internal team of portfolio managers and research analysts with over 50+ years industry experience
• 14,000+ square foot state of the art office suite in California, 4,000+ square foot new office suite in Houston, with your own furnished personal office
• Above industry payout structure

Our Teams & What We Can Do For You

Client Services
-Registered licensed para planners, many with CFPs, to prep for client meetings, build financial plans etc.

Business Processing
-Handles paperwork, follows up on outstanding documents and money movement

Portfolio Management
-Managing portfolios, processing trades, and asset allocation strategies

Marketing
-Digital marketing, website, brochures, client mailings and lead generation

Sales Development
-Communicating with prospects to get qualified high net worth prospects to sit across your desk

Admin
-Scheduling reviews, confirming meeting with clients, office administration, HR, Finance

Technology

We utilize the best-in-industry technology to ensure efficiency and provide scale as we continue to grow.

• CRM – Redtail
• Financial Planning – eMoney
• Portfolio Management System – Orion, Bloomberg, Kwanti
• Account Service – Wealthscape (Fidelity)
• Document Management – NetDocs
• IT & Security – InHouseCIO, Proofpoint

What Insight is Looking For
Successful IWS Planners:
• Are interested in managing and growing their book of business, who want to be independent, but benefit from the structure we provide
• Take a consultative approach to clients
• Work in a fiduciary capacity
• Appreciate working with best-in-industry financial planning technology
• Has or would be interested in obtaining their CFP
We want planners who will work hard and want to grow their existing book!

Minimum Qualifications
● At least 7 years of Personal Financial Planning Experience to high net worth clients
● Managing $10 million+ in existing business
● CFP Designation or have an interest in obtaining CFP
● Currently possess federal and state licenses and registrations for securities including: Series 7, Series 66, or Series 63 and 65, and Life and Health
● Clean U-4
● Self-managed professional who can prioritize and concurrently manage multiple tasks
● Phenomenal work ethic with the willingness to go above and beyond for clients
● Strong listening skills and sense of responsibility

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