Registered Investment Advisor

Broker interested in converting your book to a fee based practice? Bank Affiliated or B/D Financial Advisor looking for another way to conduct business that strengthens your relationship with your clients?  Insurance Representative interested in branching out into money management?  FAi provides services and support to help you realize your goals quicker than any other firm.

From business selection assistance, to revenue modeling and potentially start up capital support, FAi and our Advisors for Advisors™ team will support you through the process of starting, growing and managing your very own RIA.

Investment Advisor

(Below Definition From U.S. SECURITIES AND EXCHANGE COMMISSION) Read More Here.

An investment adviser is a person or firm that is engaged in the business of providing investment advice to others or issuing reports or analyses regarding securities, for compensation. Investment advisers may include money managers, investment consultants, financial planners, general partners of hedge funds, and others who are compensated for providing advice about securities

Individuals or firms that receive compensation for giving advice on investing in securities such as stocks, bonds, mutual funds, or exchange traded funds are deemed to be investment advisers. It is also common for investment advisers to manage portfolios of securities. RIAs generally are paid in any of the following ways: a percentage of the value of the assets they manage for clients, an hourly fee, fixed fee, a commission on the securities they sell (if the adviser is also a broker-dealer).

At FAi we found that the business model that is afforded to the investment professional through the RIA platform allows for a closer client relationship with interests aligning due investment architecture and offerings as well as advisor compensation.

At FAi as an RIA you will have a universe of investments to offer to allow you to build portfolios that align with your clients interest and risk tolerance.

The future of the financial industry and money management is beginning to recognize the benefits of the RIA platform.  Now is the time to expand your practice and make the move to independence.  Let Us Show You How Your Very Own RIA Is Easier To Set Up, Manage and Grow Then You May Think.

Own your future as an Independent Financial Adviser

The move to a Registered Investment Advisor -RIA, gives you the opportunity to keep more of the fees that you earn from your services that you choose, control manage and run your business and take advantage of a wide array of investment options for your clients.

FAi and How We Can Help

The transition to independence is one of the most important business decisions that any advisor can make.  It is a career changing and career defining decision that has the ability to propel you to new levels.

We do not take the decision lightly and we know what it takes to make a successful transition.  From transition assistance to client account transfer and even financial modeling for your firms cash flow for the first 12 months.  You need to know how to successfully plan and our Advisors For Advisors ™ Team is here to assist you with just that.

We DO NOT think that you should be getting transition assistance from a call center.  We believe that the better approach is to offer initial and ongoing assistance and advice from advisors whom have made the successful transition.  Contact Us to Learn More.

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Independence can be scary.  Let our Advisers for Advisers team help coach you through the process.

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A driving force for my decision to go independent was overly controlling firms telling me what was right for my client… that they did not know. Going independent with FAi afforded me the flexibility to provide investment services to my clients the way they need it! I was allowed autonomy to design my practice, but also given help to figure out how to maintain compliance. In hind-sight, there is no other way I would have gone !!



“Making the move from a commission based wire house/brokerage situation has afforded me and my clients with a wide array of investment options. And selfishly I appreciate the opportunities that independence has given me in my personal life.”



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