Other

Broker-Dealers

It doesn’t matter to us if you have a broker-dealer relationship. That’s up to you. Should you decide to keep a broker-dealer affiliation, then typically that broker-dealer must allow you to have your own RIA (or in some situations, utilize their corporate RIA). In situations where advisors are dually registered with both the SEC and FINRA, we simply provide the broker/dealer with feeds and access to all relevant activities they need from an oversight standpoint. We can certainly provide thoughts to you if you’re currently reviewing broker-dealer options.

Custodians

Each firm we support has one central point of contact here at FocusPoint who handles all of their day-to-day issues. This means the advisors who work with us enjoy the simplicity of not needing to deal directly with custodians. We have chosen to align with specific custodians because of the excellent service, support, leverage, and pricing they provide to advisors we support. Each year we conduct due diligence on these firms.