$510MM AUM | $3.8MM Rev in
New York, NY
We are an independent, SEC Registered Investment Advisory firm with offices in:
-- NYC (The Chrysler Building)
-- Stamford, CT
-- Westport, CT
-- Yardley, PA
-- Wyomissing, PA
-- Hudson, NY
You can see our entire "value proposition" at: https://___
We are currently looking to team up with other advisors and RIA firms in the NYC Metro Area, CT, MA and PA in order to better take advantage of economies of scale. The reason for this is simple. As we grow and combine resources, we all benefit: higher net payouts, reduced costs, and better branding / visibility within the communities we serve, etc. We are also open to purchasing smaller firms (under $100M) and/or books of business under $100M.
We have a great deal of infrastructure and value to offer to the right advisor / team looking to merge with an established, independent firm. Specifically, we offer the ability for advisors / teams to maintain FULL INDEPENDENCE while having access to:
-- CUSTODIANS: We have access to both Schwab and Raymond James. This multi custodian structure helps us provide the best options for a client’s needs.
-- OFFICES: We currently have three beautifully appointed offices that cover NYC Metro, CT, PA and the Hudson Valley. We would also consider opening a satellite office at a location of your choosing anywhere in the USA.
-- MARKETING EVENTS: We host 10-12 client / prospect development events each year at the Capital Grille, Yale Club, Stamford Yacht Club, suites at Madison Square Garden and The Barclays Center. By joining our group, you would be able to join our events and invite your personal clients and prospects. We have also pivoted well to "virtual" events as a result of Covid. We intend to continue both virtual and in-person events even after Covid.
-- SUPPORT STAFF: We have an outstanding and established support staff that will help you with your clients and prospects: scheduling, appointment setting, on-boarding, etc.
-- PHONE & IT: We provide complete management and support for all of your IT & phone needs. Our IT stack includes: Black Diamond, Salesforce, eMoney, Riskalyze and more.
-- COMPLIANCE: We provide full compliance and regulatory support for your practice.
We offer a true “plug and play” approach to independence. As such, our advisors /teams retain FULL independence and full ownership of their clients. Our advisors / teams can also choose to to "Brand" themselves as "Sovereign" or, they can also choose to brand themselves as their own DBA.
So, if you are looking to go independent, or, if you’re already independent and looking for more resources, lower costs and a better payout, we should talk -- we can offer 100% independence with 0% hassle.
Please call or email me and we can have a brief, confidential conversation to see if we offer a good fit for what you’re looking for.
Charles "Chuck" Failla, CFP