Our Firm

Connecting you to your investments.

In an independent model, the financial professional, investment firm, and the custodian are all separate entities that work together to process a client’s financial transaction.

Client (You)

Now, more than ever, a client wants “balance of life” when it comes to the safety of financial assets.

Financial Professional

A registered representative provides financial guidance to their clients and is typically paid a commission when you purchase a financial product.

An Investment Advisor Representative (IAR) provides financial guidance to their clients and is generally paid a fee for either managing assets, giving advice, or both.

Investment Firm

A broker-dealer processes the commission business of registered representatives licensed with the firm and holds responsibility for regulatory compliance and adherence to securities laws.

A Registered Investment Adviser (RIA) processes the fee-based business of IARs licensed with the firm and holds responsibility for regulatory compliance and adherence to securities laws.

Custodian

Pershing LLC, National Financial Services, LLC, and select firms provide the trade execution, clearing, custody, and other services for securities and related transactions.

Your Investments

Mutual funds, managed accounts, stocks, bonds, accounts, stocks, bonds, etc.