We believe in your choice to grow your business in the way that best suits you and your clients. Whether your business model is traditional brokerage, advisory or hybrid, we are committed to providing you a flexible and customizable work environment with the highest level of support and assistance. Access to multiple affiliation choices enables advisors to customize their level of support, services, fees and payouts to fit with how they wish to serve their clients.
Ways to Affiliate
Structure your practice properly to obtain sustainability.
Attach to a highly capable and global custodian with integrated technologies from 90 industry leaders. Access competitive strategists and pricing and know we are purely independent and pose no threat of directly messaging to your clients. Your clients are your clients.
Join our broker-dealer and come with or let us help you develop your own RIA. Leverage an integrated platform that emphasizes your independence, your brand, not ours.
- Join as a Registered Representative and as an IAR:
This gives you full access to brokerage, product, advisory and our integrated technology platform. This is a Hybrid/RIA-Ready model.
Regardless of how you affiliate, our platform is flexible and seamless should you decide to migrate to an IAR or RIA only model. When you evolve… we are there to make it seamless and efficient with no change in technology or with your clients’ experience.
An Infrastructure Designed For Every Model
- Fully integrated advisor platform that makes running your business easy and incorporates more than 90 technology partners through a single sign-on workstation.
- Product and advisory solutions to help you best serve the financial needs for each of your clients.
- Compliance support and tools customized specifically for your business model to help you navigate the regulatory environment.
- Practice Management consulting providing guidance on staffing, marketing and overall business betterment strategies.
- Transition support before, during and after moving your practice.
An Advisory Platform Built for Success
Our state-of-the-art technology allows you to have immediate access to the information you need to run your business and meet your clients’ needs. Designed using advisor feedback, our advisor workstation is fully customizable and scalable for your specific business. Our advisor platform enables you to increase speed and enhance the efficiency of your practice. Our single platform makes it easier to streamline your processes with instant access to account and client information, broad investment offerings, secure document storage, and detailed practice management resources.
Practice Operations & Resources
- Advisor workstation/dashboard
- Marketing tools
- Social Media tools
- Custom web solutions
- Mobile application
- Web-based resources
- Practice Intelligence Intranet
Investment & Portfolio Management
- Portfolio reporting
- Investment proposals
- Financial planning
- Client Engagement & Management
- Client Portal
- Management reports
- Client segmentation
- Lead generation
- Onboarding technology and tools
- Dedicated Advisor Workstation support team
- IT and regional support teams
Comprehensive Product & Advisory Solutions
SA Stone Wealth Management has developed a world-class array of products and services to help you find the right solution for each client. Our staff includes product specialists in equities, fixed income, mutual funds, annuities, insurance and managed money programs.
The various fee-based programs offered by SA Stone Investment Advisors, make it easy for you to create a solution for any investor’s needs. Gain access to investment strategists who construct portfolio solutions to help meet the ever increasing demands of today’s investors.
- Capital Markets
- Third Party Products
The team at SA Stone brings you a mix of high-quality investment choices for you and your clients, including traditional brokerage and also alternative investments such as exchange funds, precious metals, foreign currency, managed futures, real estate and sector-specific opportunities.
Banking and Lending
Through our integrated partnerships gain access to multiple banking and lending products.
Add to the services you provide with our variety of annuities, long-term care coverage, and life and disability insurance products.
- Envestnet Strategists
Through partnerships with leading research providers in the industry, you will gain access to high quality, unbiased research and data covering a variety of sectors and financial instruments – equities, fixed income, alternative strategies, and investment advisory.
Access the leading tools for choosing best-fit products for your client. Whether it is a robo-solution, or a program for annuity recommendations, these programs make tough decisions a little easier for advisors especially in a changing regulatory environment.
Our Compliance team offers you a flexible, responsive framework customized for your business model to help you understand what various regulations mean and how to work within a ever-changing regulatory environment in order to achieve your goals—both for your clients and for your practice.
- In-House Expertise
- Tools for product selection
- Tools for marketing and communications
- Extensive DOL Solutions
- Legal Expertise
- Project Management
- Tech Resources
- Data access
Gain insight from a team of top consultants who focus on providing you with the best resources available for managing and growing your practice. We provide business analysis, a library of dedicated web resources and print-ready materials, and, if needed, a fully equipped succession planning team with industry experts ready to customize a solution for your individual practice.
- In-House Consulting Team
- Marketing Support
- Business analysis
- Business Transition Planning
- Business Financing
- Business Valuation
- M&A Support
We understand that switching firms is a tough decision to make and that it can be a complicated process. To support you in this transition, we have a dedicated transition department that is skilled to assist you with everything from client paperwork to orienting you to the wide range of products and technology solutions.
During your transition you will be assigned a Transition Coordinator and a Regional Sales Manager as your primary points of contact. Your Transition Coordinator will choose a customized transition plan and timeline that best suits your business needs. Your coordinator will also provide information about products and platforms available to you as a valued partner.
Our experienced staff provides you with professional, accurate, and efficient customer service. We realize that transitioning between firms is a process and we are committed to providing you with continuous support, guidance and training. The transition process is just the beginning of our long-term commitment to you.
Develop A Transition Strategy
Factors such as timing, compensation payments and client communication are taken into account as your transition team works with you to develop a comprehensive transition strategy.
Inventory Your Business
By taking an inventory of your client accounts and noting any additional features your clients are using, you will be well-positioned to create a seamless client experience.
Prepare Client Paperwork
Your transition team will train you on the paperwork required to move your business. Take advantage of our integrated technology solutions to populate the required paperwork.
Once you’ve registered and obtained client signatures, we will complete the data entry required to establish all accounts, submit transfers and follow up through receipt of assets.
Take advantage of our robust training offerings to maximize your long-term success. With advisor- and staff-centric training, our goal is to get your firm back to business as usual as quickly as possible.