PORTFOLIO MANAGEMENT & FINANCIAL PLANNING

Adviser Compensation Platforms

As a dual-registered Broker-Dealer and RIA, FAA believes its adviser partners should have a complete complement of compensation platforms from which to choose. These platforms include fee-only planning options, asset-based fees, traditional transaction-based brokerage (i.e., commissions), and, in some instances, combinations of these three models.

FAA portfolio management solutions allow advisers the freedom to manage their client's accounts without proprietary constraints.

FAA Portfolio Management Solutions

FAA offers a variety of portfolio management solutions for the diverse needs of our advisers. These platforms include:

• PMA, a Rep-as-Manager wrap program using mutual funds, exchange-traded funds, and general securities
  
• MAS, a turn-key Unified Managed Account that combines multiple managers and styles in a single account. This includes the use of mutual fund managers, exchange traded funds, and separately managed accounts (SMA) managed by institutional-style money managers.
  
• Third Party Managers, a unique selection of world-class asset managers.
  
• Fee-Based Consulting – Provide expert, unbiased, and comprehensive financial planning advice for a fee.
  

Other types of advice may be asset allocation advice on a 401K or portfolio evaluations using data aggregation. FAA's fee-based consulting program allows you provide advice that is a service on its own, and is payable upon delivery.

Benefits of FAA's Fee-Based Platform

Over the past decade, the financial services industry has shifted from traditional commission based business towards fee-based. FAA acknowledges that fee-based practices are reflective of professional-level service. When a rep includes our PMA platform into their business practice, the focus is shifted from primarily selling, to advising.

Deeper Client Relationships
Another benefit of fee-based services to advisers is that it establishes a true consulting relationship with clients and positions them in a pivotal role in the investment selection process and in providing performance reviews.

Increased Business Value
The Advisory Consultants who have created successful fee-based practices are building business value for themselves. Fee-based business generates an opportunity for predictable and ongoing revenue.

Payment Received for Ongoing Services
The ongoing fee received in fee-based programs compensates the adviser for the time spent servicing existing clients and reduces the pressure of having to continuously prospect for new clients.

Opportunities for Referrals
Quarterly reviews are a great opportunity for advisers to ask their clients about their children, grandchildren and careers, to review the goals and objectives, and how the client plans to pursue them. The more client contact an investment adviser has, the greater opportunity for additional investments and referrals.

Own Your RIA

FAA is one of the few independent Broker-Dealers that offers affiliates the opportunity to mainatain their own independent RIAs. Benefits of this option include the flexibility to manage assets using a choice of custodians, the ability to charge fixed or hourly fees, and the ability to build equity in one's own business.