Charles Schwab Advisor Services is the industry’s leading custodian for independent registered investment advisors (RIAs). Schwab Advisor Services is dedicated to helping advisors achieve their business goals. For more than 30 years we have supported firms of all types and sizes and earned the trust of more than 7,500 advisors. Visit Schwab Advisor Services serves independent investment advisors and includes the custody, trading, and support services of Schwab.

Dimensional Fund Advisors LP is a leading global investment firm that has been translating academic research into practical investment solutions since 1981. We strive to build deep, enduring relationships with advisors who share our desire to create better financial outcomes for clients. Dimensional and its global affiliates manage $596 billion for clients worldwide (as of September 30, 2018).

Fidelity Clearing and Custody Solutions® provides a comprehensive clearing and custody platform, brokerage, investment, and reporting services, trading capabilities, and practice management and consulting to registered investment advisors (RIAs), including strategic acquirers and professional asset managers, retirement recordkeepers, broker-dealer firms, banks, insurance companies, family offices, and wealthy families. The goal of Fidelity Clearing & Custody Solutions® is to help clients ensure that they are always future-ready by providing knowledgeable consulting, exceptional people and transformative technology.

Greytwist is focused on their clients' concern about how their personal information is used, stored and safeguarded. This trend has made data governance vital to the operations of any business. Advisory firms face unique challenges in protecting clients’ personal information with limited resources and expertise.

Greytwist helps firms overcome these difficulties by providing a cost-effective, audit-friendly data governance solution: an expertly designed platform that helps automate data privacy initiatives, making them achievable and maintainable despite limited resources. Greytwist’s simple-to-use platform makes vendor due diligence, access control auditing, employee training, and data privacy efforts easier than ever before. With Greytwist, top-tier risk mitigation is finally obtainable for all advisory firms.

iCapital Network is the financial technology platform democratizing alternative investments with complete tech-based solutions for investors, advisors and asset managers. The firm’s flagship platform offers high-net-worth investors and independent wealth advisors a curated menu of private equity and hedge funds at lower minimums with a full suite of due diligence and administrative support in a secure digital environment. Banks and asset managers leverage iCapital’s tech-enabled services to streamline and scale their private investments operational infrastructure. iCapital was included in the 2018 Forbes FinTech 50 and as of September 30, 2018 serviced more than $6 billion in invested capital across more than 14,000 underlying accounts.

As a firm that is investment-led and investor-focused, Lord Abbett is dedicated to delivering superior long-term investment performance and a client experience that exceeds expectations. For more than 88 years, Lord Abbett has believed in active, disciplined portfolio management. We also believe that creating an information advantage through quantitative and qualitative proprietary research is the key to producing the opportunity for outperformance. We strive to construct portfolios with optimal risk/return profiles. Our long history is a tribute to the quality of our investment organization and the value we bring to our clients.

Nuveen, the investment manager of TIAA, offers a comprehensive range of outcome-focused investment solutions designed to secure the long-term financial goals of institutional and individual investors. Nuveen has $988 billion in assets under management as of 30 Sep 2018 and operations in 16 countries. Its affiliates offer deep expertise across a comprehensive range of traditional and alternative investments through a wide array of vehicles and customized strategies.

Oak Street Funding® is an expert in specialty financing. Oak Street partners with registered investment advisors (RIAs), insurance businesses, certified public accountants (CPAs), indirect auto finance companies and franchise restaurants under the First Franchise Capital® brand. Oak Street also provides third-party loan servicing to multinational bank portfolios and backup servicing to securitized portfolios.

Since 2003, our proprietary technology has allowed Oak Street to deliver next generation, relevant niche products and services to these cash-flow based industries, all while providing extraordinary service to our borrowers. Our experienced team with broad lending and specialty backgrounds, use data and risk analytics, allowing Oak Street to successfully complete over 3,000 transactions and achieve a portfolio that exceeds $1.1B.

Our passion, client and employee-focused mindset, and access to capital drive our commitment to fulfill client needs, while also providing an empowering work environment for our employees. This allows Oak Street to be flexible, agile, accessible and responsive when providing financing for mergers and acquisitions, succession planning, working capital and more.

The Bank of New York Mellon Corporation (BNY Mellon) is a global investments company dedicated to helping its clients manage and service their financial assets throughout the investment lifecycle. BNY Mellon delivers informed investment management and investment services in 35 countries and more than 100 markets. BNY Mellon’s Pershing Advisor Solutions is a leading provider of business management, execution and financing solutions with custody at its core. Our clients are professionally managed, growth-oriented advisory and wealth management firms and institutional providers that serve clients with complex financial lives. As a true business-to-business provider, we can help you run your business more efficiently and serve your clients more effectively by offering access to cutting-edge solutions - from private banking to alternative investments to global capabilities.

To learn more about how we can help you grow and build an enduring advisory business, visit us online or connect with us on LinkedIn or Twitter.

Who We Are

PIMCO is one of the world’s premier fixed income investment managers.

With our launch in 1971 in Newport Beach, California, PIMCO introduced investors to a total return approach to fixed income investing. In the 45+ years since, we have continued to bring innovation and expertise to our partnership with clients seeking the best investment solutions. Today we have offices across the globe and 2,500+ professionals united by a single purpose: creating opportunities for investors in every environment.

What We Believe In

PIMCO partners with a wide range of institutions, including corporations, central banks, universities, endowments and foundations, and public and private pension and retirement plans. In addition, we work with financial advisors and millions of individual investors pursuing personal financial goals, from preparing for retirement to funding higher education. Investing our clients’ assets is a tremendous responsibility, and for that reason there can be no shortcuts. We work relentlessly to help these investors reach their goals.

PPCLOAN is one of the nation’s leading sources of conventional (non SBA) cash-flow based financing for investment advisory firms. For over 19 years, we have consistently provided the most attractive financing programs available in the industry. With PPCLOAN you can expect quality service and tailored financing solutions because we understand how your business works. And that gives us an edge over typical SBA lenders and traditional banks who can’t afford the time to learn and understand the way your firm - or any investment firm - works. The three types of loans we offer to investment advisory firms are:

  • Growth Loans: For acquisitions (& mergers) of a firm or book of business
  • NextGen Loans: For succession plans, internal equity purchases, and partnership buy-ins/buy-outs
  • Refi Loans: A refinancing solution for existing business debt

Once we get to know you and your firm, you can consider us a long term partner who’s ready to assist you with your ongoing financing needs. This is about a relationship and your dedicated PPCLOAN advisor is committed to your ongoing success.

Segall Bryant and Hamill ("SBH") is an independent investment management firm based in Chicago, Illinois with offices in Denver, Colorado; St. Louis, Missouri; Philadelphia, Pennsylvania; and Naples, Florida. Since our founding in 1994, we have grown to approximately $20.2 billion in assets under management.*

To meet the varied needs of clients, SBH offers a diverse range of strategies including domestic, international and global equity in addition to fixed income solutions across the maturity and credit quality spectrum. These strategies are available through various investment vehicles including mutual funds, separate accounts, and Collective Investment Trusts (CITs).

Known for generating performance through proprietary investment research, SBH’s team of experienced investment professionals seeks the most attractive investments within our various investment strategies. Our substantial employee ownership and partnership culture result in the continuity of our investment teams, long-term relationships and an alignment of our interests with those of our clients.

*Total assets under management (AUM) reflects the combined AUM of Segall Bryant & Hamill and Denver Investments, as of September 30, 2018.

For independent RIAs who want to do right by their clients and build a business on their own terms, there’s only one choice. TD Ameritrade Institutional provides award-winning advisor tech, industry-leading service and advisor-first advocacy. The result? Efficiency. Growth. And a firm that transforms lives, careers, and communities.

Award-winning tech: Spend less time trouble shooting and more time rocking your clients’ world. Open-architecture Veo One lets you do more in one place. iRebal slashes rebalancing time.

Industry-leading service: Consider us an extension of your staff. TD Ameritrade Institutional always has your back.

Advisor-first advocacy: From policy input to industry sustainability, you have someone going to bat to future-proof your business.

Learn more at or call us at 800-934-6124.

TD Ameritrade Institutional, Division of TD Ameritrade, Inc., member FINRA/SIPC

Vanguard Financial Advisor Services began in 1975 and has grown to become one of the world’s largest investment management companies, with more than $4.93 trillion in U.S. fund assets as of September 30, 2018. Vanguard provides an extensive array of investment products, including a full range of low-cost ETFs and mutual funds designed to help financial advisors grow and preserve the wealth of their clients.

Most investment firms are either publicly traded or privately owned. Vanguard is different: We’re owned by the Vanguard funds, which are owned by their shareholders. We make every decision with only our fund shareholders’ needs in mind. Our unique structure, along with our commitment to provide outstanding performance and service at the lowest possible cost, provides advisors with many opportunities for building their businesses and enhancing their client relationships.

We believe low costs are crucial to generate consistently strong investment performance. Our cost structure allows fee-based advisors to set attractive fees for their clients. Advisors can also take advantage of the latest information on current trends, as well as astute investment analysis, from our highly respected research teams. Our research-based, client-approved education materials are designed to help advisors’ clients become better-informed investors. In addition, our innovative practice management solutions can help advisors attract and retain clients, build their practices, and enhance their professional development. Perhaps the most powerful reason for partnering with Vanguard is the confidence that comes from choosing an experienced, trusted investment management company. Connect with Vanguard® at or call 800-997-2798.

For decades, we’ve observed the methodology through which many life insurance agents vie for a seat at the planning table with you and your affluent or entrepreneurial clients. We are acutely aware of the stewardship required to establish and sustain your position as the most trusted advisor. We see the discernment at hand when inviting a life insurance agent into your cherished relationships, and the prudent approach through which you parlay your trust into these new scenarios.

Likewise, we know what happens behind the scenes at many insurance firms when recommendations are developed. If all parties could see behind the curtain, they would see this lack of transparency is a catalyst for a lack of alignment. And that all too often, the fiduciary approach you bring to your client’s planning is not alive and well in the solutions put forth to support that planning.

Likely every insurance agent who walks through your door speaks to their sophisticated planning capabilities, expertise in super affluent markets and the quality of their internal team.

At WealthPoint, we tell a similar story. However, the proof lies in a business model that guides us to consistently walk our talk. In the largest and most complex client scenarios, we believe the totality of our model is essential to an ideal result.