Investment Advisors Corporation: Partnering for Growth in a New Era
Evolution of the Industry Favors Independence
The evolution of our industry is favoring regional independent firms, Hybrids and RIAs. An increasing number of advisors are seeking independence from proprietary investment platforms, upgraded technology and better economics. However, breaking away from the infrastructure many advisors have become accustomed to can be daunting if they don’t have access to resources, technology and staff to make this transition on their own. Investment Advisors Corporation can offer multiple affiliation options to advisors that can provide more independence and options for their clients, while offloading the overhead of creating their own systems entirely from scratch. Whether you are seeking office space with infrastructure already in place, or to ‘plug-in’ to IAC’s systems cost-efficiently with potential for higher revenues, or even developing an investment center within a bank or credit union, we provide expert consultation, technology and transition programs to fit your goals. From day one we are with you to execute your transition plan including completing paperwork, implementing technology, compliance and training. Once transition is complete your relationship manager will work one-on-one with you to help you deploy investment strategies designed to deepen client relationships and grow your practice.
Investment Advisors Corporation: Partnering for Growth in a New Era
Since 1996, IAC has supported our investment advisor representatives in their service of the diverse financial planning and investment management needs of their clients. As a privately-owned registered investment advisor (RIA), we take pride in providing our advisors with the comprehensive support and tools they need to help their clients achieve their financial goals. Headquartered in West Des Moines, Iowa, IAC is currently registered in 42 states and the District of Columbia. Our experienced home office team currently supports 120+ advisors through a variety of channels, including:
- as employee representatives of IAC;
- as independent advisors;
- through banks, bank trust departments or credit unions;
- through insurance agencies; and
- through legal and accounting firms.
For advisors who provide fee-based advisory, financial planning and comprehensive asset management services to individuals, corporations, endowments, foundations, high net-worth investors and other clients we offer:
- Open Architecture Platforms
- Responsive Compliance Support
- Advisor First Service Model
- Cutting Edge Technology
- Customized Transition Programs
At Investment Advisors Corp. our investment advisor representatives have the ability to choose the products and services that are best suited for their clients. They have access to a wide range of flexible asset management platforms and investment products, as well as powerful financial planning tools. Our advisors have the ability to do business with various custodians through both advisor-managed and third-party asset management programs. We have agreements with Schwab, Fidelity, TD Ameritrade, Envestnet, Assetmark, SEI Investments and many more. Other services, including brokerage, mutual funds, and insurance, are offered to dually-registered representatives through our affiliated broker-dealer, Broker Dealer Financial Services Corp., member SIPC.
Responsive Compliance Support
At IAC we understand our advisors have spent years developing a reputation for integrity and service in their business practice. But all that can quickly change with a compliance problem or an unexpected customer complaint. Unanticipated hurdles can be costly, time-consuming and threatening if you don’t have the right partner for support.
We have built a responsive compliance system to protect our advisors and identify potential risks, including: account review and approval, advertising, web and marketing material review, trade surveillance and suitability review, on-site branch audits, complaint resolution and outside business activities. To protect our advisors we have integrated compliance functions into our technology platform to streamline email and social media monitoring and archiving and best practices training such as firm element continuing education, alternative investment and special product training, anti-money laundering and client suitability training.
Advisor First Service Model
Our team is comprised of executive management, compliance, advisor relations, licensing registration and operations. Our investment advisor representatives have access to a dedicated relationship manager and advisor resource center to work side-by-side with them to solve challenges and help them grow their business. Our people have deep industry experience including having been financial advisors and have a keen understanding of the importance of each and every client and their advisor mean to each other. Whether it’s transition, technology, compliance or operations, the relationship manager will be the ‘quarterback’ in coordinating all these resources to the benefit of advisor and their clients.
My Advisor Toolbox is a solution that helps with everything from the initial prospect meeting through client and product implementation. Our goal is to provide you with a comprehensive business solution through our technology and home office support to allow the additional time necessary to generate and grow your business, provide compliance/supervision tools, dashboards, data aggregation, AND weekly commission payouts! Link to Technology Video.
Customized Transition Programs
Changing firms under the best of circumstances is an unwelcome prospect for most advisors. The need to find balance between best interests of the client and what is best for the advisor and his/her family is paramount. Our transition team is comprised of specialists who are determined to make the transition transparent to clients and ensure that the advisor and their staff become familiar and comfortable with our personnel, procedures, and resources. Every step of the way, a member of our team will be there to direct the advisor to the key individuals within our firm, follow up on any outstanding items, and guide the advisor in completing the various forms required to transition their business.
We will work to develop a customized timeline and transition plan that will best suit the advisor and their practice;
- Onboarding, licensing, and registration assistance
- Timely marketing review and approval
- Technology integration and implementation
- Forms, policies, and procedures, providing training, reference materials, and paperwork assistance
- Onsite visits and online webinars for your transition and training support.
At Investment Advisor Corporation we take pride and strive to provide superior communication and service throughout the transition process and beyond. We are committed to making your experience with us the best possible. We look forward to working with you and your business – your way.