What is an Advisory Fee-Based Relationship

Client Centered

STRENGTH IN INDEPENDENCE

Our financial advisors are highly collaborative and interactive.  Communication among our advisors/internals/clients are constant with continuous support for our clients. 

In our client advisory relationships, we act as a Fiduciary in their advisory account.  An advisory fee is charged for personalized services such as financial planning, portfolio construction, investment strategies, etc.

LPL Research has no proprietary products to sell, and no investment banking relationships to cultivate.  Our advisors are compensated for bringing the best recommendations forward to meet clients' needs, which aligns our interests with our clients.

An advisory fee-based relationship provides:

  • Transparency – Having fee schedules based on a percentage of the account value offers the transparency in how your fees are derived and an understanding that you are paying for advice rather than a product. These fees are outlined in your detailed quarterly performance report.
  • Independence – With no financial incentive to offer one product over another and the mutual benefit that your advisor’s financial success is directly proportional to your success, the fee-based relationship with our advisory clients creates an environment of independence in selecting the investment strategy and products that your advisor believes will be right for your financial goals.
  • Fiduciary Duty* – The highest standard of care that, by design, guides an advisor to act in the best interest of his or her clients.
  • Access – Institutional management, once reserved only for large accounts, is now available.


*In advisory relationships

A tailored solution just for you

We will assist you in determining a suitable approach for professional money management. Mapping out your journey with your Financial Advisor can provide you with better opportunities to pursue your financial goals.

Roop Financial Services is fiercely independent and, as a result, not beholden to any particular financial institution or class or products. Our wealth management process begins and ends with you, the client. By carefully considering your unique needs, our collaboration and independence allows us to use quality solution providers.

We will help you by…

  • Preparing a retirement needs analysis
  • Creating funding and disbursement strategies
  • Establishing Social Security benefit strategies
  • Performing pension benefit optimization analysis
  • Advising on tax deferral strategies such as deferred compensation and retirement plans
  • Calculating your RMD (minimum required distributions)
  • Reviewing employer retirement plan investment options and allocations

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