Hybrid RIAs
Friendly, Effective Broker-Dealer Solutions for Hybrid Advisors
Regardless of your existing relationships or RIA affiliation, we’re here to help you grow. As an open-architecture firm, we’re here to help you build on your foundation. We’ll streamline your processes and provide the technology, expertise, and institutional relationships you need to succeed.
Our Value
Our Partnerships
Our Service
Do you have your own RIA and need a broker-dealer solution? We can help.
We are mindful of existing relationships and agents who have an outside RIA affiliation. Let us be your growth partner and streamline the process under one roof. Leverage our expertise and build on your existing foundation.
Registered Representative
We have deep-rooted experience and are ready to offer you a wide variety of product solutions.
As a registered representative of Simplicity Investments, with an active FINRA Series 6 or Series 7 license, you will have access to a wide variety of products to best serve your clients. Please tell us more about your business mix, and we can determine if we are a fit for you.
Our Offerings:
Compensation
Whether you are coming from an institution, a captive agency system, or another independent broker-dealer, we have a competitive payout that will scale to your business as it grows. If you are engaged in fee-based business or have your own RIA, we are responsive to a variety of situations and business models.
- Weekly Commission Payouts
- Contracting and Appointment Support
- Electronic Business Submission
Expenses
We understand operating an independent business comes at a cost. Our affiliation costs are all inclusive and designed to help your business. With several different structures to choose from, we strive to make it easy.
- Robust Technology Platform
- Comprehensive E&O Insurance
- FINRA Registration
- Compliance and Audit Support
- Marketing and Product Support