1. Exclude conflicts of interest
and associate with No sales commissions and
professionals dedicated to product loads
Fiduciary standards
FIDUCIARY
RELATIONSHIPS
Eliminate product
Upfront fee disclosures
surrender penalties – 100%
and no hidden costs
liquidity

2. Electronically open new
accounts and perform Paperless document
service and storage & sharing
maintenance requests
ADVANCED
TECHNOLOGY
MyPortfolioReport.com Automated fee-billing &
online client reporting performance reporting

3. Share costs and Eliminate FINRA
resources licensing and CE
PROFITABILITY
Cost-effective fees Utilize low-cost
and appropriately custodians to
priced services minimize expenses

4. Own your own business
Build and market your without the financial
own brand burden of establishing
your own RIA
FREEDOM
You choose what
Only pay for the
services you want to
services you want and
offer your clients and
need for your practice
establish your own fees

5. RIA
ADVISORY
GROUP
Independent Independent Independent
Business Unit Business Unit Business Unit
Firm Firm Solicitor
Investment Investment
Advisor Advisor
Representative Representative
Solicitor Solicitor

6. CPA
Attorney CFP®
CLU CFA

7. Compliance
Client Web
E&O Insurance
Portals
Portfolio Custodian
Accounting Relationships
RIA
ADVISORY
GROUP
Exchange
Email & Marketing
Archiving
Trading &
Administration
Rebalancing

8. • We provide compliance tools, documents, communication & even Mock Audits. No need to outsource or hire
Compliance expensive compliance personnel. And since the compliance hurdles as an RIA aren’t nearly as high as with a
B/D, you’ll spend less time being frustrated with compliance department delays.
E&O Insurance • Take advantage of our relationship and receive preferred pricing. Coverage can sometimes be extended to
other lines of business as well.
• We have established relationships with leading custodians who offer us volume pricing benefits without asset
Custodian Relationships minimums. These custodians offer online client access and a low-cost trading platform to buy & sell
investments.
• You’ll have access to our Marketing Library which includes compliance approved newsletters, brochures,
Marketing seminars, advertisements, client communications and more. Plus pre-approved templates for business cards,
letterhead and website templates.
• We offer the tools, resources and platform for our IARs that want to perform trades and rebalancing on their
Trading & Rebalancing own, or, we offer an advanced solution through RIA Group Investments where those tasks are taken care of for
you. Choose from proprietary models or build your own.
Administration • Our proprietary software, Advisor Back Office, provides a web-based solution to open accounts, monitor asset
allocations, pre-fill forms, perform account maintenance and more, all in a paperless setting. And since it sync’s
(Advisor Back Office Suite) with Microsoft Outlook, your client data is always up to date.
Email & • Exchange email service with custom domains and mobile device connectivity. All email correspondence is
archived per compliance requirements. Paperless, secure online storage of client forms & administration
Online Document Storage records.
Portfolio Accounting • We provide daily custodian downloads & reconciliation. PortfolioCenter provides data management,
customized reporting and billing management, all in one easy to use software application.
Client Web Portals • Our MyPortfolioReport.com online client portal provides performance reporting with benchmarking
capabilities and monthly or quarterly reporting options.

9. Amber Cooper
Investment Advisor Representative
Director of Partner Development
515.423.0775
amber@ea-advisors.com