Registered Investment Advisor

Enjoy the freedom of billing for services you render, such as advising clients on their 401(k)’s or preparing financial plans. In addition to receiving fees for assets under management, you may charge clients on an hourly or project basis for these value-added services.

Your RIA

The Professional Alliance can help you establish or maintain your own independent RIA. Our services for fee-only practices include:

  • Freedom:Design your own ADV and bill for assets under management as well as for services that make sense for you and your clients.
  • Registration: No broker dealer affiliation necessary. Investment Advisory registration (Series 65) required if not exempted by state regulator(s).
  • Education: Stay informed with conferences and webinars focused on keeping you relevant and competitive.
  • Volume Discounts: On software, marketing materials, shipping services, health insurance and more.
  • Custody: Utilize TD Ameritrade, Charles Schwab, Fidelity Institutional Wealth Services (FIWS), Pershing Advisor Solutions, Trust Company of America, or FiServ/Datalynx.
  • Flexibility: Migrate to a Hybrid RIA (Series 6 or 7 licenses required) or move to Cambridge’s corporate RIA. It’s your choice and we help guide you.

Cambridge’s Corporate RIA

Receive outstanding RIA services through Cambridge Investment Research Advisors:

  • Freedom: An accommodating ADV allows for asset-based fees as well as per hour or project billing including client 401(k) and 403(b) accounts.
  • Registration: No broker dealer affiliation necessary. Investment Advisory registration (Series 65) required if not exempted by state regulator(s).
  • Education: Stay informed with conferences and webinars focused on keeping you relevant and competitive.
  • Volume Discounts: On software, marketing materials, shipping services, health insurance and more…
  • Flexibility: Migrate to a Hybrid RIA (Series 6 or 7 licenses required) or create your own independent RIA. It’s your choice and we help guide you.

Broker Dealer

For Registered Representatives who want a broker dealer relationship, The Professional Alliance has selected Cambridge Investment Research. A seven-time winner of the coveted Broker Dealer of the Year award*, Cambridge is privately held and committed to remaining so. When your broker dealer isn’t part of an empire or owned by a venture capital firm, you’ll experience true independence and always do what’s best for your clients.

  • Licensing: Series 6 or Series 7- your choice. Specialty registrations such as Series 22 and 62 for Series 6 Reps are supported.
  • Insurance Friendly: Utilize the services of our general agencies or use your own existing relationships. Your choice.
  • Education: Stay informed with world-class conferences and webinars that are focused on your needs and keeping you relevant and competitive.
  • Volume Discounts: On software, marketing materials, shipping services, health insurance and more.
  • Flexibility: Add investment advisory services by creating your own independent RIA or utilizing Cambridge’s corporate RIA (Series 65 or 66 registration required if not exempt by state law). It’s your choice and we help guide you.

*’Investment Advisor magazine, 2014, 2013, 2012, 2010, 2008, 2007, Division IV; 2003, Division III. A broker-dealer becomes eligible for this honor only after a minimum of 10% of its producing rep-advisors cast valid ballots. The ballots rate the broker-dealer in 15 different categories defined by Investment Advisor as relevant challenges and concerns. Broker-dealers receiving the highest marks in each of four are declared Broker-Dealer of the Year. Results are based on experiences and perceptions of participants surveyed in June of each of the years listed. Experience may vary. Visit advisorone.com.’