What You Need to Know About Going Independent

SPONSORS / EXHIBITORS

For over thirty years, Bear Stearns has been an industry leader in custody and clearing for investment advisors and broker-dealers. Bear Stearns Investment Advisor Services (IAS) delivers the full services of a Wall Street firm to investment advisors, family offices, wealth managers and money managers pursuing the high-net-worth market. Clients may leverage the firm’s extensive resources and access a breadth of complex solutions not yet seen from the conventional providers to this market segment.

A business unit of Fidelity Investments, Fidelity Institutional Wealth Services offers a powerful set of capabilities for registered investment advisors, trust institutions and third-party administrators We provide sophisticated wealth management investment strategies and services, extensive practice management resources, and a flexible, open technology environment all backed by one of the strongest wealth management platforms in the business.

Clearing, custody, or other brokerage services may be provided by National Financial Services LLC, or Fidelity Brokerage Services LLC, Members NYSE, SIPC

Pershing adviser Solutions LLC is a leading provider of business solutions to independent, fee-based registered investment advisers and dually-registered advisers working in conjunction with many of Pershing LLC’s introducing broker-dealer customers and high-net-worth money managers. Pershing LLC is a subsidiary of The Bank of New York Mellon Corporation, the global leader in asset management and securities servicing. We are committed to service excellence and to providing dependable operational support, robust trading services, flexible technology, an expansive array of investment solutions, and practice management programs. Through an innovative custody platform, Pershing adviser Solutions delivers superior expertise and scalable and customizable solutions to help customers manage and grow their fee-based businesses. We provide a personalized service model, which enables our customers to focus on what matters most—developing client relationships and growing their businesses without limits.

Raymond James Investment Advisors Division
For portfolio managers, financial planners and investment management consultants who want to run a truly independent RIA in a fee-only environment, but don’t want to give up the support of a full-service firm, Raymond James is your solution. With personalized attention and turn-key services – including institutional-quality asset management solutions, access to award winning equity research, cutting-edge technology, and outstanding portfolio management software and reporting – you’ll be able to serve your clients more effectively while making the most of your time. We are the leader in providing a truly integrated technology solution that gives fee-only advisors what they need to grow and sustain long-term client relationships. Visit us online at FeeOnlyAtRJ.com.

TD AMERITRADE Institutional is a leading provider of comprehensive brokerage and custody services to more than 4,000 fee-based, Independent Registered Investment Advisors (RIAs) and their clients. Our advanced technology platform, coupled with personal support from our dedicated service teams, allows investment advisors to run their practices more efficiently and effectively, while optimizing time with clients.

Additionally, TD AMERITRADE Institutional provides a robust offering of products, programs and services. These services are all designed to help advisors build their businesses and do the best possible job they can help their clients with their financial goals.

At TD AMERITRADE Institutional, we are committed to advocating on behalf of advisors and their clients on important issues like the Broker-Dealer Exemption Rule. We understand the importance of being a fiduciary and remain firmly on our advisors' side.

TD AMERITRADE Institutional is a division of TD AMERITRADE, Inc.

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