Meet Us

Independence should not imply a lack of leadership. Entrepreneurs still need a path.

Welcome

Enjoy Greater Success with High-Performance Teams

Our Regional Director model lets you plug in to built-in infrastructure, dedicated staff, mentorship, practice management expertise and local community knowledge to help you enhance the value of your business.

About Us

Founded in 1983

Founded in 1983 as Financial Network Investment Corporation, a pioneer in the independent broker-dealer space.

OSJ & Producer-Group Focused

Has a model designed to support super OSJs, producer groups and networks of advisors.

Big Company Resources, Small Company Culture

This model empowers you with the benefits of "big company" resources as well as "small company" culture and relationships.

$74 billion in AUA

Serve nearly 2,500 financial advisors across the nation representing nearly $71 billion in assets under administration.

Growth

We continuously invest in best-in-class advisor growth services and support.

Opportunity Drivers

We support multiple ways to expand your business, including client acquisition, partnership funding, retirement planning/investment strategies and expansion.

Connect2Clients®

Connect2Clients, our comprehensive advisor marketing program, launched in 2012.

Pentameter®

Pentameter, our leading practice monetization and profitability management tool, launched in 2014.

Culture of Recognition

We are rooted in a culture of personal connections, recognition and reward.

Networking

We have multiple advisor councils, educational conferences and an annual recognition trip.

Your Branding

We welcome the use of individual DBAs and advisor brands.

Your Business Model

We offer freedom to choose different paths to growth.

Meet Your Executive Team

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Douglas S. King
President and Chief Executive Officer
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Bryan Jacobsen
Chief Compliance Officer
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Craig Markham
Senior Vice President of Advisor Experience
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Timothy P. Stone
Vice President and Head of Supervision
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Thomas B. Taylor
Senior Vice President and Chief Operating Officer

Our Regional Director model lets you plug into built-in infrastructure, dedicated staff, mentorship, practice management expertise and local community knowledge to help you enhance the value of your business.

Meet Our Regions

Advisor Stories

I'm allowed to be independent but I'm not out there fighting the battles by myself.

Hear from advisors and managers at Carroll Financial Associates and JRA Financial on why they love working with us.

People don't really care about how much we know until they know how much we care.

Advanced Wealth Management Group and AJW Financial talk about their relationship with clients and what it means to be their advisor.

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