Overview

I am seeking to acquire a fee-based advisory practice with $5-15 million in AUM in the Chicago/Northern IL/Northwest Indiana area. Series 65 in April 2017 (Series 7 August 2020) working with a principal in Huntsville, AL who is a CFP/ChFC with over 17 years experience that has provided great mentorship and guidance. I'm growing organically seeking to be accessible to the middle-class based on financial planning without AUM and lower minimum AUM requirement of $50,000 for in-house managed accounts (TAMP/TPMM only for accounts under $50,000). Although I'm small, I have a great mix of middle-class and High Net Worth clients proving that starting independent with my vision is possible. I provide excellent high-touch client service to a wide range of clients. Seeking a fit with a client-focused philosophy over a transaction-based business. My clients are mostly fee-based financial planning or fee-based wrap managed money clients with no commission based investment business. Life insurance is a minor portion of my business with mostly term life policies sold based on financial planning needs analysis and suitability. I have not yet sold an annuity. My goal is to grow a small practice both organically and through the right acquisition. Cambridge RIA/B/D is preferable, but not required.

Market
Advisor/RIA
Member Level
Basic
Last Activity
6 months or more
Listing Age
794 days old

Business Data

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