Broker-dealer Services for Independent Registered Investment Advisors
RIA Services
Are you looking for a partner who truly understands the challenges of running an independent RIA? At M.S. Howells & Co., we provide flexible, cost-effective solutions designed to support your goals. Whether it’s streamlining operations or giving you the tools to grow, we tailor our services to fit your personalized needs. Our experienced team is here to support you every step of the way, allowing you to focus on what matters most—your clients.
Let’s talk about how we can help your business thrive.
Our Advantage
“Friendly” Broker-Dealer Services
As a “friendly" broker-dealer, we offer competitive payout structures for registered representatives and do not take an override on fee-based business with hybrid RIAs.
Our commission structure is designed to be competitive, ensuring that our partners receive attractive payouts for their efforts. We maintain minimal fees, allowing you to retain a larger portion of your hard-earned commissions.
Competitive Pay
We provide clarity on your commissions. Details on paid and pending commissions are available at your fingertips. You maintain the key relationship and have full ownership of your client base.
Transparency
We utilize advanced technology to boost efficiency and communication. Our tailored services meet your needs, and our extended hours offer support for both East and West Coast businesses.
Infrastructure & Support
Integrated Technology Platform
We leverage one sophisticated software solution for several key functions, which allow for efficiency and organization. The key benefits of utilizing this single software solution across several functions include:
COMMUNICATION
We use this software for Firm communication, including Firm news, compliance bulletins, useful forms, policies, guidelines, training, and a company directory.
PAY & COMMISSION
We offer competitive rates and pay twice a month. Detailed commission statements for both actual and pending performance are available at your fingertips.
TRACEABILITY
This software provides an audit trail of each step. The operations team is informed in real-time of activity to keep everything moving in an efficient and organized manner.
COMPLIANCE
This software allows for numerous compliance capabilities and integrated documentation areas, including Regulation Best Interest questions to maintain compliance and appropriate documentation of your care obligation.
Keys to a Successful Transition
With over 20 years of experience, we know the keys to a smooth transition. Our professionals have the experience, contacts, and strategic partnerships required to make the process seamless and successful. Our services are tailored to fit your situation.
A successful transition requires excellent communication and a detailed plan. With your input, we manage your transition through a methodical step-by-step process that starts six weeks before your transition date.
Transition is not always easy but rest assured that through our experience and understanding, we have implemented a process that will make yours as seamless as possible. We stand as a partner, providing guidance and support during and after this major change. Our mission is to build a long-term relationship where the common goal is your success.
TEAMWORK
It begins with a dedicated transition team that will analyze your book of business, develop a transition timeline, and set up weekly calls. Access to your transition team and executive leadership does not end after your transition, you continually receive the same level of attention and service that you deserve.
WELL-INFORMED
Weekly transition calls, system training, compensation payment preparation, and support for your client communication ensure that your transition is on track for launch day.
OPERATIONAL SUPPORT
Our operations department handles the opening of new accounts and account transfers, insurance appointment paperwork, broker-dealer change forms, and daily workflow assistance quickly and efficiently. We will train you and your staff on the documents and various platforms required to transition your business. Take advantage of our integrated technology solutions to populate almost all client paperwork. Our goal is to ensure that our internal forms are intuitive, simple, and accessible online.
TECHNOLOGY SOLUTIONS
We offer robust reporting capabilities through direct data feeds for complete portfolio of accounts and assets under management. Aggregated data from many sources provides a consolidated view of assets. Performance reporting package that covers asset allocation, holdings analysis, transactions, benchmarking, and performance. Our technology does not end at your computer screen; you can take it anywhere with mobile applications.
Links & Resources
Account Access
Resources
Our Growing Network of RIAs
We collaborate with wealth professionals across the continent through a network comprising over 40 affiliated offices. If our values and vision align, your RIA could join our growing network.
