FAQs

• Front, back and middle office support for Registered Investment Advisors (RIAs) and Investment Advisor Representatives (IARs)
• Fully integrated technology stack for RIAs and IARs
• Custodian management with Fidelity Institutional®, Schwab/TD Ameritrade and Raymond James
• Client portal for secure data sharing and account views
• Dedicated advisor support and virtual assistance services
• Investment and portfolio services such as portfolio management, trading and reporting
• Ongoing compliance oversight and continuing education
• Cybersecurity protection, training and audits
• Onboarding and transition support and training
• Practice development and business consulting

For more information, visit our Services page or watch “Build Your Dream, Your Way.”

Whether you’re an Investment Advisor Representative (IAR) or a Registered Investment Advisor (RIA), Dynamic can support you. Some Advisors may be sole practitioners and others are multi-advisor teams. We’ve found that our most successful partnerships are with advisors who value an open, direct relationship and embrace the full experience of our strategically designed ecosystem of operations, compliance and technology.

We support advisors from $20 million AUM to more than $1 billion in AUM. By providing operational relief, advisors have more time to focus on their clients and grow their business.

Yes. Through Dynamic Investment Management, we offer complete investment research, manager due diligence, portfolio construction, operational implementation and ongoing oversight of wealth advisor clients’ investment needs through our global, diversified and balanced portfolios. Our sophisticated trading platform offers consultation, implementation and ongoing management of Dynamic’s investment strategies.

Our flexible service includes a broad range of investment models and strategies, customization and tax awareness. We monitor and review portfolios on a daily basis. Some advisors elect to manage and trade some of their client accounts on their own, and work with us on specific accounts as they see fit. For more information, visit our Investment Management page or contact us.

A Registered Investment Adviser (RIA) refers to a firm that is registered with the Securities and Exchange Commission (SEC) or a state’s securities agency. An individual advisor who works with an RIA is an Investment Advisor Representative (IAR). Dynamic can provide services to both a stand-alone RIA firm, or an IAR under the Dynamic RIA.

As a stand-alone RIA, you have more flexibility in your business. However, you have many more responsibilities to manage that business in accordance with regulatory requirements, investments and services offered. As an IAR of Dynamic, you still have flexibility in your business such as brand, investment philosophy, etc., however you don’t have to spend time on administration of technology, custodians, human resources, compliance, regulatory oversight and day-to-day operational tasks.

We’ll provide counsel to help you identify whether an RIA or IAR is the best route to help you accomplish your business goals, as well as where you see your time best utilized. Either way, we’ll assist you in establishing the proper set up. For more information, see “IAR Or RIA? Ever-Expanding Options Have Advisors Wondering What’s Best” or watch the Dynamic Resource Call webinar.

No. Dynamic isn’t a broker-dealer, however an RIA registered with the SEC. We primarily service fee-based advisory firms. However, we can support advisors who have legacy commission trails through broker-dealer partnerships, consulting on fee-based alternatives, as well commission acquisition arrangements. We demonstrate multiple solutions for advisors in determining the need for a broker-dealer relationship.

No. Unlike a broker-dealer, we don’t hold security licenses. Usually, a series 65 or 66 are required for an IAR, however that’s dictated on a state-by-state basis. Only states register IARs, not the SEC, but those who must be registered include individuals working for both state and SEC-registered firms.  Based on active credentials, (i.e., CFP, CFA) you may qualify for an exemption with certain states. Through our onboarding and registration process, we’ll ensure you have the proper registration and/or notice filings with the required states as well as the proper licenses.

You can choose to brand your business as your own or you can take advantage of Dynamic’s established brand. Regardless, you can leverage our established branding infrastructure, which includes messaging on how to define your partnership with Dynamic, as well as various marketing communications materials and valuable content for advisors’ use with clients, to help you deepen client relationships and grow your business.

No. We have longstanding relationships with multiple custodians. We’ll help you chose the custodian that’s the best fit for you and your clients. You’ll be able to leverage the relationship through Dynamic, and we’ll coordinate the set-up and transition process for you.

Absolutely. You own 100% of your business and client data. Should you decide to go another direction, we can assist with your transition. You’re also able to register as a Registered Investment Advisor (RIA) with the option of continuing Dynamic’s services under an RIA Service Agreement.

Dynamic works with both Investment Advisor Representatives (IARs) and Registered Investment Advisors (RIAs) to produce better results for their practices. Dynamic partners with advisors to discover their goals and objectives and create a practice plan for success.

We provide a comprehensive platform designed to create efficiency and enhance productivity. Dynamic also offers ongoing practice support, both in groups and with individual advisors. We’ve developed strong relationships with several industry experts. We deliver insights from industry thought leaders through Dynamic Resource Call webinars, timely market commentary and other useful content, knowledge libraries and Dynamic news, as well as ongoing business consulting.  Simply stated, Dynamic takes care of the details and offers solutions so you can focus on growing your practice and providing exceptional customer experiences.

Yes. Dynamic works with advisors seeking relationships to grow their practices. We can arrange for, and help advisors to develop a succession (or contingent succession) plan relationship to protect the future of their practices. Dynamic can be your succession plan, or we can connect advisors who are looking for an exit strategy with those positioned to acquire practices. For more information, see “M&A Journeys: Continuity Vs. Succession” or watch the Dynamic Resource Call webinar for more insights on this topic.

The economics of your partnership with Dynamic are flexible and straightforward. For services provided to the advisor, we base our fees on assets under management (AUM) on the Dynamic platform. We use basis points to determine the appropriate fee, using a tier-based calculation. We offer many services to advisors that allow us to provide a la carte or bundled pricing. We want to support advisors the best way possible and understand that one size doesn’t fit all. We’re transparent about our fee structure as we want the value of Dynamic’s services to far outweigh the cost.

Our first step is to understand your practice goals and objectives and work with you to develop an onboarding plan, tailored to your practice. Once the required background checks are completed and you’ve executed the affiliation documents, we begin to develop and implement your plan. Typically, these steps require one to two weeks, depending upon the size of the practice. The account transition can be completed in two to four weeks. To begin the conversation, contact us today. Call (877) 257-3840 or send an email to joinus@dynamicadvisorsolutions.com.