RIA vs. BD

Would a Broker/Dealer respect your independence and treat you as a valued and true partner? 

Take a second to truly consider that.

You should be proud of your securities business and it should serve to amplify prospects and draw clients to your original services & products while also offering new solutions to all your existing clients. How could affiliating with a Broker/Dealer achieve this?

Unfortunately associating with a Broker/Dealer can more often than not mar your practice. Not only will your securities clients fear your maligned incentives but also your affiliation with any of the big name Wall St. firms who have launched a negative PR campaign on themselves. Broker/Dealers are also know for strong arming you to run your insurance or indexed annuity business, part of most holistic client financial solutions, through one of their MGA partners – often using inferior products with commissions being paid to the B/D for bullying you. It is no wonder that this business foundation is quickly eroding. You should never have to worry about:

  • Termination for low production
  • Low payouts.
  • Limited products tethered to quotas
  • Stagnant technology and services 
  • High cost Broker Dealer and FINRA fees


We think there is a better way to build a successful securities business.

As an RIA you enjoy aligned incentives with your clients – both by law and by compensation. This is achieved by the combined impact of the fiduciary obligation all RIAs are bound to and a fee based structure. The result is peace of mind for both the client and you. We understand that your practice is yours, you should not only be free to run your approved outside business as you wish and are independently licensed to do and should see it benefit from adding an RIA.

Who else is a fiduciary?


  • Physicians
  • Lawyers
  • CPAs