Our Broker Dealer
WHAT IS A BROKER/DEALER?
A broker/dealer is a company that a registered investment professional is required to affiliate with in order to buy and sell investment products on behalf of investors. The Securities and Exchange Commission (SEC) delegates the supervision of financial advisors to the Financial Industry Regulatory Authority (FINRA). FINRA, in turn, requires us to choose a broker/dealer to partner with on your behalf.
WHY WOODBURY FINANCIAL SERVICES?
The fact that we've chosen to work with Woodbury Financial Services, an independent broker/dealer–RIA, means that our firm remains independent, too. We are free to act solely in your best interest, without bias and without pressure to promote a particular product or strategy. It's a model that differs from that of some other, larger financial firms known as wire houses, whose financial representatives are accountable not just to their clients, but also to the parent company that employs them.
Woodbury Financial Services is also independently owned and managed, which means the firm retains the freedom to allocate resources where they're needed and to act in the best interests of its financial advisors and their clients—not shareholders.
HOW WOODBURY FINANCIAL SERVICES HELPS US HELP YOU
Woodbury Financial Services goes far beyond what's required of a broker/dealer; the entire organization is built around doing whatever it takes to satisfy not only the advisors who work with the firm, but the clients of those advisors as well. It's that infrastructure—and the always expanding wealth of resources it provides—that makes it easier for our firm to provide you with the best possible guidance and the prompt, personal service you expect and deserve.
One Platform with Multiple Investment Solutions and Tools
Woodbury Financial Services Investment Advisory Platform is centered on the VISION2020 Wealth Management® Platform.
This integrated, web-based, advisory platform features:
- Third-Party Strategist Model Portfolios constructed by multiple, institutional-grade money managers
- Separately Managed Accounts (SMAs) that address specific investment goals
- A Unified Managed Account (UMA) solution incorporating separately managed accounts, mutual funds and Exchange-Traded Funds (ETFs)
- Advisor Managed Portfolios (AMP) that are customized to client objectives and risk tolerance
Additional features of the platform include:
- A Risk Tolerance Assessment Tool — to help position client assets
- Extensive Portfolio Analysis — to assess your clients’ current investments and asset allocations
- Expansive Research Capabilities — to compare products and managers
- A Thorough Proposal System — that allows advisors to present portfolio analyses, investment strategy and research to clients in one easy-to-read document
Third Party Money Managers
This program includes an offering that enables the advisor to select and manage Third Party Money Managers on behalf of their clients.
Each of these programs allows you to provide innovative investment solutions to help you meet the unique needs of your clients. Additionally, instead of commissions, clients are charged an advisory fee that is based on their assets under management.
IF YOU'D LIKE TO KNOW MORE
We'd be glad to talk with you further or answer any questions you may have about our affiliation with Woodbury Financial Services. Please feel free to give us a call.