At SFA, you are empowered to run your business your way either as a fee-based or commission-based financial advisor. Choose how you wish to affiliate with SFA. From fee-based or commission-based advisors, to dual registrants working under the firm’s corporate Registered Investment Advisor (RIA) platform, and from fee-only RIA firms to hybrid RIA firms, you will find the widest possible array of independent financial advisor business models in the marketplace today.
Advisory
Select from a number of advisory options from fee-based to commission-based. Choose the business model that works best for you and for your clients.
Third Party Asset Management
Third Party Asset Managers (TPAMs) and Turnkey Asset Management Programs (TAMPs) can enhance scalability and capacity. The additional benefits of asset class and manager style diversification allow you to focus your day-to-day management on other business development concerns and relationship management.
Prefer to leverage third-party asset managers to support your client investment needs? These managers offer a variety of strategies to invest in stocks, bonds, mutual funds, and ETFs with allocations matched to client risk tolerance for your mass-affluent and high net worth clients.
Advisor-Managed Solutions
The experienced, entrepreneurial advisor has two options for wealth management services in which the advisor functions as advisor-as-portfolio-manager.
Strategic Choice
The Strategic Choice program is a wrap fee program sponsored by SFA with accounts custodied at Pershing LLC. This program allows experienced and properly registered advisory representatives to manage clients’ portfolios at Pershing utilizing all of the reports and features available through Pershing.
The program is available to your individual clients, high net worth individuals, pension and profit sharing plans, corporations, trusts, estates, charitable organizations, and other business entities.
Strategic Blueprint
Strategic Blueprint, LLC is a Registered Investment Adviser (RIA), offering custodial services through Fidelity Clearing and Custody Solutions*, Schwab Advisor Services**, and TD Ameritrade Institutional***. This program offers you the option to (1) maintain your registration with a broker-dealer for commission-based services by also affiliating with the Strategic Financial Alliance, Inc. or (2) conduct a fee-based advisory business with no broker-dealer affiliation.
In addition to advisor-as-portfolio-manager, Strategic Blueprint offers unified managed accounts with a universe of vetted managers, strategists, and model portfolios.
Should you need a broad menu of investments, access to alternative investments, and the flexibility to choose model portfolios, strategists, and asset managers, or design your own portfolios, Strategic Blueprint offers tools, resources, and support that you need.
Integrated technology includes Black Diamond, RedTail, and Laserfiche. Most financial planning software will also integrate seamlessly with Strategic Blueprint. Both asset-based and transaction-based pricing are available. In addition, our pricing bundles reporting, CRM, and forms technology costs, as well as E&O and email services fees.
For more information about Strategic Blueprint, please click here.
Brokerage
Brokerage accounts are with an introduced relationship with Pershing LLC, an affiliate of BNY Mellon and a world leader in brokerage services.
Through Pershing, you enjoy access to advanced investment capabilities, from fast, precise trade execution and settlement to accurate, timely account statements. You can expect quality service, global capabilities, rock-solid reliability, and prompt resolution of any questions or issues.
*Fidelity Investments is an independent company, unaffiliated with Strategic Blueprint LLC. Fidelity Investments is a service provider to Strategic Blueprint LLC. There is no form of legal partnership, agency affiliation, or similar relationship between your financial advisor and Fidelity Investments, nor is such a relationship created or implied by the information herein. Fidelity Investments has not been involved with the preparation of the content supplied by Strategic Blueprint LLC and does not guarantee, or assume any responsibility for, its content. Fidelity Investments is a registered trademark of FMR LLC. Fidelity Clearing & Custody Solutions® provides clearing, custody, or other brokerage services through National Financial Services LLC or Fidelity Brokerage Services LLC, Members NYSE, SIPC.
**Schwab Advisor Services serves independent investment advisory firms like ours and includes the custody, trading and support services of Charles Schwab & Co., Inc. You may select Charles Schwab & Co., Inc. or another brokerage firm named here to custody your assets and effect transactions on your account.
*** TD Ameritrade, Inc. is the firm that we use to custody our client assets. TD Ameritrade and Strategic Blueprint are separate and unaffiliated firms, and are not responsible for each other’s services or policies. TD Ameritrade does not endorse or recommend any advisor and the use of the TD Ameritrade logo does not represent the endorsement or recommendation of any advisor. Brokerage services provided by TD Ameritrade Institutional, Division of TD Ameritrade, Inc., member FINRA/SIPC. TD Ameritrade is a trademark jointly owned by TD Ameritrade IP Company, Inc. and The Toronto-Dominion Bank. Used with permission.