I’m looking to acquire a book with +$50MM of AUM, the majority of which is fee-based. A good match for my current focuses and strengths would be a client base that is accustomed to managed money via 3rd party SMAs (or Mutual Funds as a fall back) and also some exposure to Alternative Investments.

I’m based in New York City, but travel frequently to visit clients throughout the county. That said, I would prefer to acquire a book of business around the NYC area or a client base that doesn’t mind that I’m not down the street every day; though easily accessible at all times and visiting on a regular basis (check-up would be just as frequent as if I were local).

Ideally, we could agree to terms and complete a deal in 2021. Then, I would prefer the advisor (team) to stay engaged for approximately 6 to 12 months in order to assist with the transition.

Prior to my years as an advisor, I spent 10+ years in various product roles at major NYC-based broker-dealers. This has greatly benefited me in knowing exactly how to provide clients with top-notch service & access to subject-matter-experts across all functions they could ever need at my firm *including Wealth Advisory, i.e. CFPs and attorneys, and Retirement Services*

Also, I am licensed for Life Insurance.

Finally, I’m in my early 40s and put forth significant effort to meet my current clients’ satisfaction. Once transitioned to me, your clients would also get a great experience and a consistent / reliable service model for many years to come.

Last Activity
6 months or more

Business Data

Blurred Charts

Clearing Firm / Custodian

Blurred Blurred Blurred Blurred Blurred

Third Party Money Managers


Mutual Funds

Blurred Blurred Blurred Blurred Blurred

Variable Annuities

Blurred Blurred

Insurance Business

Blurred Blurred Blurred Blurred Blurred

Technology Solutions

Blurred Blurred Blurred

CRM Systems

Blurred Blurred Blurred Blurred