Market
Advisor/RIA
Member Level
Chalice
Last Activity
6 months or more
General
Location
Fairfield, CT, US
Profile Type
Buyer
Fee 0% Commission 100%
AUM
$680,000,000.00
Gross Revenue
$3,800,000.00
# of Accounts
3,500
Avg Client Age
60
Overview

We have a clear plan to fund a purchase of a financial services practice. Additionally, we have prior experience in successfully purchasing and integrating four practices in the past 5 years.

Our SEAL [Strategic Envoy Advisory Liaison] team will transition your clients to our broker dealer/custodian. We will import your database information so the client history is maintained.

We work with individuals [working and retired], families, small business owners and business benefit programs. We provided comprehensive financial planning and investment advisory services. We are dually registered in a brokerage capacity as well as registered with the SEC as our own independent RIA.

Our business generates the majority of our revenue (70%) derived from fee based assets under management and additional income generated from brokerage, annuities, insurance and 529 plans. We are active money managers utilizing asset allocation to determine what best fits the client's needs and risk tolerance. We use all financial instruments: ETF'S, stocks, bonds, mutual funds etc. We do not utilize third party vendors or money managers.

We focus on investments utilizing both fundamental and technical analysis (we have our own proprietary technical analysis process titled: Growth Protection Strategy (GPS) which is copyrighted and trademarked) to make our portfolio decisions. We conduct frequent reviews with clients to make certain that we are meeting their goals and objectives.

We have extensive experience in financial planning, estate planning, retirement income planning, investment management and insurance. The firm was founded in 1982 in Boston and relocated to Fairfield County in 1992. We joined LPL Financial in 1994 .

The firm is comprised of 14 advisors, all of whom have extensive experience and knowledge; four advisors have their CFP designation; one also has a Master’s of Science in Financial Services. Additionally, the firm has 2 Registered Para-planner™ and 4 administrative support professionals, all of whom have 15 years + experience. Effective September 30, 2014 our firm became a Hybrid RIA with LPL Financial. This change strengthens us financially, allows us to broaden our service menu to our clients and establishes the proper business structure to continue our growth in the future.

We have a written Business Continuity Succession Plan in place. We maintain current with what is going on with continuity and succession planning in our industry. We have participated on speaking panels and have a very good understanding of what makes business continuity and succession plans work successfully.

Our historical client retention rate is 95% +. Our compliance record is exemplary; there has never been a complaint filed against the firm.

We know that to achieve a successful business transition plan three "wins" must be achieved: (1) a win for the clients; (2) a win for the seller; and (3) a win for buyer. Due to our professional depth, experience and knowledge, we believe firmly that we can achieve those three important goals with the appropriate selling firm and that their clients would experience a seamless transition.

In closing, please visit our websites: ___

We hope that our firm will rank highly in your selection process and look forward to exchanging more information at the next step in this process.

Business Mix Info

Blurred Business Mix
Blurred Fund

Clearing Firm / Custodian

Blurred

Third Party Money Managers

Blurred

Mutual Funds

Blurred Blurred

Variable Annuities

Blurred Blurred Blurred Blurred Blurred Blurred

Insurance Business

Blurred Blurred Blurred Blurred

Technology Solutions

Blurred Blurred Blurred Blurred

CRM Systems

Blurred Blurred Blurred

Loading...