Broker Check

Making The Move

Premier RIA Network Power Tool Kit

Leading-Edge Technology Platform and Transition Team

We have spent a decade developing a robust technology platform of carefully-chosen, leading-edge tools that will enable you to manage client assets with ease. As part of the transition process (see Smooth Affiliation and Transition Process) into the Premier RIA Network your Transition Team will work with you and your team to review current processes, preferences, and roles and responsibilities of team members. We provide guidance in choosing from our comprehensive suite of support tools.  We provide implementation training and ongoing support to help ensure that all tools are deployed effectively. This training covers all aspects of doing business from processes to products, compliance to commission, and technology to tactics.  The following are the available software tools and other services:

  • Account Aggregation
  • Cash Flow Operations
  • Custodian Trade Platform
  • Customer Relationship Management (CRM)
  • Data Management and Reporting
  • Detailed Fee and Commission System
  • Financial Planning Software
  • Investment Policy Statement
  • Lending Solutions
  • Performance Reporting
  • Portfolio Analytics
  • Portfolio Construction Software
  • Portfolio Management Services
  • Practice Acquisition Financing
  • Retirement Projections
  • Social Media
  • Trading Platform
  • Turnkey Asset Management Platforms
  • Video Production Studio
  • Workflow Operations

Legal, Compliance, and Regulatory

We can provide required regulatory documents and filings to support the creation of your new RIA or to update an existing one. The customizable package includes…

  • Process and Procedures manual
  • ADV Parts I and II
  • Privacy Policy’ Privacy Notice
  • Investment Advisory Compliance Manual
  • Investment Advisory Agreement
  • Code of Ethics
  • Insider Trading Policy
  • Questionnaire for Employees, Officers and Directors
  • Employee Compliance Manuals
  • Mock Audits
  • Record Keeping Tools, Software
  • Third-Party Compliance and Legal Consulting
  • Third-Party Errors and Omissions Insurance
  • Business Continuity Plan
  • Future Documentation (required as proof of ownership of client relationships)

Flexible, Open-Architecture Products and Services

We offer a robust and flexible open-architecture platform of products and services.  Through PPS Advisors and an affiliated broker/dealer, you will enjoy access to a broad array of professionally-managed fee-based programs, securities, insurance, and benefits products. If your clients own VAs or VULs; non-publicly traded securities (i.e. REITs, MLPs); or other non-RIA platform asset classes, you will be able to transfer those assets to your new firm. (For more information, see Products and Services.)

Premier Advisor Coaching

A major benefit of breaking away is shifting your business model to one that will free up your time to focus on growing your business and serving your clients.  Our Business Development Specialist (David Mottes) is available to help develop your business growth strategy; provide helpful coaching sessions on pipeline tracking & monitoring, team development, roles & responsibilities, and time management; and provide access to proven sales and marketing resources.

Sales, Marketing & Branding

Creating powerful brand positioning, key messages and a brand style guide are key drivers of business growth. To enhance your professional brand and capture the attention of target investors, you may leverage expertise of our outsourced digital marketing consultants (see Digital Marketing Strategies to Grow Your Practice). These experts assist you in establishing your brand (or leveraging the PPS Advisors, Inc. brand) and using state-of-the-art, cost-effective digital marketing techniques. Your marketing system may include a selection of the following: a contact management system (CRM), mobile-optimized website, lead generation, social media, e-mail push/pull campaigns, newsletters, client event & webcast presentations, printed materials, public relations and advertising. Additionally, you may choose to access our series of powerful, compliance-approved seminars that educate affluent clients and prospects on key retirement, investing, and cross-generational wealth transfer topics.

Client Services

A primary goal of breaking away from your current firm and business model must be the ability to offer superior client service — to help ensure that you are retained as your clients’ primary wealth manager. We do everything in our power to support and foster your success

Ownership & Participation

You own your RIA firm, client relationships, P&L, and brand. As a Hybrid RIA, you may also have the opportunity to share in the growth of your affiliated broker/dealer, through participation in capital units of that firm. Capital units represent an equity stake in the broker/dealer and as it grows, the value of the capital units increases. Distribution of capital units to you is predicated on the firm’s overall revenues and based on the percentage of revenues you generate.

Practice Valuation

Your practice will be valued annually at year-end by a specialized investment banking firm. The market typically places a value on your assets (i.e. AUM, AUA) from 1 to 3 time’s annual revenue, depending upon the nature of the assets.  Fee-based assets tend to generate a higher valuation than transactional and one-time, front-end charge assets.  Being a member of a Network that leverages a common service platform may also lead to higher business valuations.  Valuation creates an asset value from which you may offer ownership to employees; allows you to state the business value as component of your personal net worth; and provides a means to monitor your ongoing growth.


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