Overview

We are a two-man shop operating out of Dallas and The Woodlands, TX. We are looking to grow our book of 401(k)/403(b)/Defined Contribution plans, which accounts for approximately 80% of our revenue. The other 20% of our revenue comes from private wealth management and financial planning services for individuals and families with Charles Schwab as the custodian. Our AUM has nearly doubled in the past 2 years.

We are unique and compete best in the company retirement plan space, with one advisor who has 20+ years of experience in retirement plan administrative and recordkeeping services and another advisor with a CFP® designation and MBA who has 5+ years of experience in investment advisory services. The company retirement plans we advise are "unbundled", and we currently work with 5 different administrators/recordkeepers and Charles Schwab or Matrix as the primary custodians.

Our primary goal on this platform is to "buy" (or pay a commission) for company retirement plans. This is something we have done before and would do again if it is the right fit. We would consider a merger if it could provide more support and assets in the private wealth management side of our business.

Market
RIA
Member Level
Premier
Last Activity
2 weeks
Listing Age
129 days old

Business Data

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