The key to The RIA Works’ success is our strategic relationships. We research the highest quality firms in the RIA industry from marketing to legal and compliance, private equity, accounting, and clearing and custody solutions, so our clients don’t have to.
Here is a list of some of our key partners:
Westcott Associates is a boutique marketing firm founded in 2010. It specializes in marketing, digital media and communications for financial services firms and professionals. The firm’s extensive knowledge of this industry draws upon years of working with financial advisors, RIAs, broker-dealers and firms of all sizes. This strong foundation sets Westcott Associates apart from its competitors who are often less familiar with the sophisticated work advisors do for their clients.
AdvisorAssist provides comprehensive, turnkey solutions for both new and transitioning advisors, as well as established registered investment advisor (RIA) firms. As a national leader in RIA registration, transition and compliance support services, AdvisorAssist provides actionable advice and execution to advisors to launch and protect their advisory firms. From concept through launch, we partner with advisors to assist in building world-class advisory practices. For established firms, we provide the ongoing compliance, risk management and strategic support that enable advisors to focus on growing their practice. Our proven capabilities, unparalleled delivery and world-class technology make us the optimal partner to help you plan, launch and protect your advisory firm.
Compass CFO Solutions, LLC is a leader in providing outsourced CFO and accounting solutions to the wealth management industry. Founded in 2017, the firm offers a 100% virtual experience customized for the wealth management industry. Compass brings an outsourced approach, combined with its best-in-class technology suite and industry expertise, which enables the firm to effectively manage the accounting and finance functions of newly-founded firms or complement existing teams.
Merchant is a private partnership providing growth capital, management resources, strategic opportunities and direction to independent financial services companies, particularly those focused on wealth and asset management.
Through capital alignment, Merchant is a non-controlling and collaborative growth partner to firms that seek to scale their businesses effectively and create value for their clients by combining personalized and localized service with institutional backing and global access.
By establishing and optimizing business infrastructure, providing access to organic and inorganic growth opportunities, designing and accessing bespoke investment solutions and providing collaborative capital solutions to address a variety of business needs, Merchant unlocks greater value and entrepreneurial opportunity.
With custody at our core, Fidelity Clearing & Custody Solutions provide innovative solutions and support with a range of unique service models to fit your business, no matter the size, including a multi-family service offering. With more than 20 years of experience working with RIAs, Fidelity can get you up and running quickly and efficiently while ensuring a smooth transition for both you and your clients. On day one, your dedicated service and relationship management team begins working with your implementation project manager and transition team, so we’re ready to support you right from the start.
For more than 30 years, Schwab has been a persistent advocate for the independent model and have committed thousands of people and millions of dollars in resources to make sure independent advisors of all sizes have everything they need to grow and succeed. We provide access to the technology platform, processes, tools and people you need to transfer, manager and trade your clients’ assets.
Goldman Sachs Advisor Solutions offers independent advisors access to institutional-grade solutions and custody services. We transform the advisor experience with an intuitive, digital-forward platform that enhances transparency and gives advisors greater control over their businesses. Our modern, nimble, and ever-evolving open architecture network connects advisors to best-in-class services and tools. More than just a custodian, we are a gateway to the institutional power of Goldman Sachs.
As the industry’s largest provider of clearing and settlement solutions, BNY Mellon’s Pershing can help you power your business by driving growth, creating scale and managing costs, and helping you stay ahead of new regulations. The depth of our client base allows us to facilitate dialogue and bring the best solutions to all of our clients. Our solutions include:
- Global clearing and settlement in equities, fixed income, annuities and more
- Multicurrency capabilities
- A proprietary rules-based compliance engine and fully integrated alerts
- Advisor access to reporting and a single view of client holdings, from mutual funds to 529 plans to annuity policies
- Award-winning client statements and information delivered the way investors prefer, including on mobile devices