Who Are Our Advisors?
Why They Want a Change: Advisors who join RoundRock come from a variety of situations — from large, national money managers to smaller independent firms. They tell us that they’ve felt constrained in building client practices that meet their skills, interests and experience. Some say they’ve been required to take every lead that comes across their desks. Many tell us that the emphasis has been on selling specific financial product, rather than exploring investments that meet the client’s goals and needs.
They feel deprived of access to critical information and processes that can help their clients. Some are caught in the fallout from mergers and acquisitions gone wrong or other business and management issues. They’re ambitious but also want a sense of work/life balance. They believe their earning ability has been limited and seek a more entrepreneurial approach to managing their practices. Some are already in independent practice but want business support of various kinds. Later in their careers they’re concerned about transitioning their longtime clients and those relationships to worthy associates. RoundRock also provides them the opportunity to retire and monetize their practices.
What They Bring to RoundRock: These advisors are seeking a supportive, collaborative environment built on integrity. They want to do the best for their clients, maintaining and fostering those relationships. They believe they can accomplish that by bringing their own best to the table magnified by specific additional skills of trusted colleagues. That is the environment that RoundRock has built and provides.
In addition to financial planning and wealth management experience, many of our advisors bring other skills and areas of expertise with them to RoundRock. Variously they have: advised Wall Street investment, hedge fund and mutual fund managers; worked in corporate finance; operated accounting and tax preparation services; created financial plans; performed securities and portfolio analysis; provided investment guidance and education to advisors; worked in human resources.
Services for Advisors and their Clients.
RoundRock supports Advisors and their clients with an array of systems and services.
First, our advisors receive a full complement of employment benefits, including healthcare insurance.
Our innovative technology systems provide/enable our client portal, CRM, reporting, compliance, scheduling, performance, aggregation, planning, trading, portfolio analysis, internal and client communications.
To help advisors support their clients we provide and offer advisors access to asset management, tax and accounting services, insurance, human resources and estate planning. For those with business clients our mergers & acquisitions services (business valuation, deal creation) allow them to broker client business sales and, in many cases, benefit from fees on proceeds under management.