Being an independent advisor has provided you with the autonomy of being your own boss and managing your overhead. We work with you to expand on the vision you have for your firm by bringing best in class technology, custodians and solutions to your practice. We will also deliver to you best in class service just as you provide to your clients. Keep running your own show but with a partner who is committed to your success.

Our team is now a part of your team. The value of 34 Financial is not only in the tools and services we provide but the ability to manage all of the components that come with running an independent advisory practice. We bring the experience and knowledge of the RIA marketplace to you, your staff and clients. This allows your team to work more efficiently and focus more time on serving your clients. 

As your Chief Compliance Officer (CCO) we are responsible for running the day to day compliance functions for your practice. We work with you to create and maintain legal contracts with your clients, draft and amend your ADV brochure and manage your policies and procedures manual.  

ADV Brochure	Client Contracts	Email Archiving
Fee Testing	Regulatory Audits	Marketing Review

 

We don't just give you the tools you need but manage and integrate them for you. We work with best in class third party software companies to create a seamless and client friendly experience. All of the systems we use connect with your custodian and each other to transform RIA technology from complexity to simplicity. If you already have third party systems in place, we can work with you to integrate them into our platform or transition data to our preferred vendors.

Financial Planning	Performance Reporting	CRM System	Account Aggregation
Client Vault	Secure File Storage	Client Portal	Email Encryption

 

It is not just about managing an independent financial services firm but managing a small business. As a small business owner you wear a number of hats. We purposefully built our firm to wear some of them for you. This will allow you and your staff to shift focus back to working IN the business and not ON the business. Let us help you get back to what you enjoy.

Account Billing	Integrated Phone System	Client Invoicing
E&O Insurance	Comprehensive IT Support	Business Valuations

 

You might already have your own business. That's great. Maybe we take this time to rebrand your firm or freshen up your website. If you are making a transition to a new custodian there is a great deal of work involved. We are your in-house transition team that knows what it takes to get you from point A to point Z. From the beginning we sit down with you to craft a transition plan that will cover everything we need to accomplish to make your transition as smooth as possible.

Rebranding	Logo Update	New Website	Tech Integrations
IT Setup	Book Review	Custodian Selection	Hardware
Business Cards	Client Agreements	Paperwork Prep	Software Training