Registered Investment Advisers render financial advice for a fee versus a commission, and are either regulated by the various states or the SEC depending upon the amount of money under management.  The buyer of an RIA realizes an immediate revenue stream, and often producers associated with the firm stay on after the change of ownership is complete.

R 1001 Clean California-based RIA.  In business since 2002.  Currently inactive, but has existing relationship with marquee custodian Broker/Dealer.  Owner willing to assist with transition.  No liabilities.  This is a turnkey opportunity.  $15,000.  SOLD

R 1002 Clean midwest-based SEC registered investment advisor with over $350 million of assets under management.  In business and profitable for over three years and registered in over twenty states. Custodial arrangements are in place with four of the largest custodians.  The RIA has a proprietary turnkey asset management platform (“TAMP”) that provides front, mid and back office applications for other RIA’s.  Can provide an infinite number of portfolio strategies utilizing a multitude of money managers.  The TAMP offers a rare and unique opportunity to offer private labeling for other RIA’s. Think of this listing as a clearing house for RIA business and you can see that the potential for future growth is tremendous.  Owner primarily seeks an equity partner but will entertain all offers including a full purchase. Please contact us directly for pricing. SOLD

R1003 Clean southeast-based STATE registered investment advisor with over $60 million of assets under management.  In business, and profitable, for over ten years.  Currently and consistently yielding over 100 basis points in revenues.  If you are looking for a profitable springboard for future growth and expansion, this is the opportunity for you.  Attractively priced at $200,000.    SOLD

R 1004 START YOUR FINANCIAL EMPIRE.  Mid-West based Broker/Dealer and State Registered Investment Advisor, under common ownership, and in business since 1987.  Broker/Dealer has a $50k net capital requirement, and is approved for stocks, corporate bonds, mutual funds, variable products, and tax shelters/limited partnerships.  B/D currently has over $220,000 in average monthly production, and RIA currently generates over $70,000 per month in advisory income. Approximately $85 million in RIA assets under management, and over $250 million in B/D assets under management.  Currently has 37 Registered Representatives, 4 branch offices, and is registered in 32 states.  B/D and RIA must be purchased together.  Principal and registered representatives will stay on throughout, and after, the transaction.  $2,000,000 SOLD


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