More Than Just an OSJ
When it comes to choosing an OSJ, there’s a lot to consider. While our basic duties are clear, we do more than simply meet our obligations.
IAG prides itself on doing more than simply meeting our obligations. We know, from our own successful practices, what kinds of services can move the needle for your firm - things like onsite business, marketing, and training support; regular Advisor events; and comprehensive succession and transition planning.
As a full-service Office of Supervisory Jurisdiction at LPL Financial, IAG is able to offer a wide array of supervision, consulting, and business services to our network of affiliated Advisors to enhance their independence and allow them to focus on their Clients and business. OSJ services include:
- Supervisory services and regulatory compliance
- Onsite location inspection and support
- Full translation of LPL compliance guidelines for the individual office
- Tracking of individual firm element requirements
- Tracking of all documentation required for FINRA, SEC, and LPL compliance
- Operational assistance by dedicated individuals at our full-service OSJ in Horsham, PA
- Hands-on support transitioning your book of business to LPL, including papering of accounts
- Better access to wholesalers and LPL corporate resources due to scale
- Access to and collaboration with other successful OSJ Advisors
- Ongoing business, marketing, sales, and training support
- Full-service training and support for younger Advisors looking to get established
- Practice management and coaching
- Access to attorneys, CPAs, and other strategic partners
- Close interaction with IAG Advisors
- Turnkey office space, if needed
- Dynamic annual meeting of Advisors, business partners, and wholesalers
- Quarterly meetings focused on compliance and sales-related topics
- Onsite training of sales assistants at OSJ upon hire
- Opportunity for placement in a Financial Institution Services program
- Complete business analysis and valuation
- Comprehensive succession and transition planning to help maximize practice value
- Practice acquisition resources to help build/grow your business
The IAG Difference
Operational and management skills. Many Advisors find the operational and process aspects of their job burdensome. IAG views the ability to assist Advisors with operational and administrative support as a contributor to the success of the Advisor's business and want to make sure it is done efficiently and effectively. IAG offers Advisors best-in-class products, resources, and services within a fully functioning platform.
A better base for business growth and profitability. The economies of the IAG model enable Advisors to spread the cost of operations and technology, as well as dedicated management, across a shared network - making it an attractive home for like-minded Advisors.
Wealth creation and customized business planning. IAG allows Advisors to leverage customized business planning capabilities to ensure a more viable, stable, profitable, and transferable practice. With IAG, Advisors can enhance their ability to maximize that value, as well as plan for succession and retirement in ways that best meet their needs and improve their financial well-being.
Cradle-to-grave approach. IAG helps older Advisors nearing the end of their careers, as well as younger Advisors who would like to build their business and can benefit from IAG's assistance. IAG can assist with finding succession candidates whose personality and philosophy provide the greatest likelihood of retaining assets.
Dedicated management to better serve Advisors. Advisors will gain the time to take better care of Clients and seek new opportunities because they know IAG is assisting in running their business. IAG's services revolutionize the way Advisors manage their business and their Clients by freeing them to pursue their highest use.
Leadership training. By providing Advisors with an accurate assessment of their strengths as a manager and leader, IAG can help develop a clear and concise proposition for their business along with an effective service and support model. By helping to change the behaviors of Advisors, IAG can increasingly gauge progress and align activity with measures of success.