RIA-ONLY DOESN'T MEAN RIA ALONE

Owners

Goods & Services

Providing centralized business support for a network of independent investment advisors, namely, centralized account billing, preparation and dissemination of periodic asset-holdings statements, and preparation and dissemination of market reports; providing marketing support for independent investment advisors, by creating and designing web-based and paper-based promotional materials for dissemination by independent investment advisors to their clients and supplying paper-based marketing materials for dissemination by independent investment advisors to their clients; providing investment market research support and analysis for independent investment advisors

Providing regulatory compliance support to independent investment advisors, namely, compliance consulting services that assist investment advisors in ensuring that they are operating within federal and state securities and investment advisor-related laws and regulations

Investment advisory services; providing investment, financial and financial asset management advice; financial planning and financial consulting services