$40MM AUM | $1.2MM GDC in
New York, NY

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.