Investment Adviser Representative

Anticipated Start Date

2-3 months (exact date TBD)

The Investment Adviser Representative (IAR) will attract, retain, and advise clients for a well-established independent SEC Registered Investment Adviser (RIA) and asset manager on a 1099 contractor basis (with a 100% payout rate). The IAR will provide the firm’s investment advisory services to end‑user clientele (both retail and institutional), with the option to provide financial planning services as well.

Develop and retain a book of investment advisory clientele with indefinite growth potential, and build towards an eventual retirement (with a built‑in practice succession plan). Contracted advisors may also be given preference for internal salaried positions within our firm if/when they become available.

• Bachelors Degree required, Graduate Degree/ MBA preferred, CFP/CFA preferred.
• Minimum of 2 years experience working in the financial services industry.
• Experience working for a fee‑only RIA or Asset Manager preferred.
• Must be enthusiastic about working with people, developing relationships, and networking.
• Must have an established network of personal/professional relationships and/or an existing financial services book of business for introductions.
• Must be willing to learn proprietary firm methodologies/services and introduce/advise clients on this basis.

• Series 65/66 Investment Advisory License REQUIRED (Must have or obtain prior to employment).
• Series 7 or 6 securities licenses NOT PERMITTED (no broker‑dealer affiliations).
• Life Insurance License (optional).

• Become an Investment Adviser Representative of an independent SEC Registered Investment Adviser (RIA) and Asset Manager.
• Engage in training to become familiar with proprietary firm methodologies and Separately Managed Accounts to be applied to prospective clientele.
• Use the firm’s internal technical resources, personnel, and team approach to provide investment advisory services (in the form of proprietary Separately Managed Accounts and related advice) to both retail and institutional clients, and also provide financial planning services (typically on a retainer fee basis) when appropriate.
• Make introductions of new potential client relationships to the firm from your existing book of business and/or from your personal/professional network of relationships.
• Build and integrate your practice with the firm’s in anticipation of your potential future retirement and practice succession, while still knowing that you have a protected, transferrable book of clientele in the event that you’d like to separate from us at any point.

• Work is primarily remote, using tech resources approved/monitored by the firm.
• Option to work and meet clients/prospects at our office on Long Island, NY.
• Main office hours of operation are 9:00am to 5:00pm Mon-Thursday, 9:00am-4:00pm on Fridays.
• Main office is closed on stock market holidays.

• 100% Payout rate on the markup above base minimum program fees for both Investment Advisory services (asset management) and Financial Planning services.
• Incentive‑based only, 1099 Contractor Compensation.
• Built‑in practice succession plan (for retirement, disability, and death).
• Override compensation available for referrals of new IARs, RIAs, and Non‑RIA Solicitors (accountants).
• IAR is responsible for all costs associated with their contractor employment, including tech and compliance costs, regulatory fees, marketing expenses, etc.

An Independence‑Oriented Culture with the Maximum Compensation Rate

• Act as a true Fiduciary for your clients, with aligned advisor incentives and client objectives.
• Work remotely, when you want, where you want, but with access to physical facilities as well.
• Obtain the highest payout rate available in the industry (100% of markup).
• A culture of independence, autonomy, professional collaboration, and prized personal lifestyle.

• Plug‑and‑play practice management solutions for both new and long‑established advisors.
• Full firm support in transitioning transactional broker‑dealer books to a fee…