Be Bold. Make your Mark. Be a
REALLY INDEPENDENT ADVISOR.
Welcome
Whether you’re starting an RIA or seeking a new custodian, it’s worth exploring what’s possible here at First Clearing. It you’re ready to start the conversation, you can reach me through one of the methods below.
Call Scott
Email Scott
The Registered Investment Advisor (RIA) model is blazing new paths through the traditional advisor landscape; offering new opportunities, resources, support and true independence.
* The Cerulli Report—U.S. Advisor Metrics 2020 – Exhibit 2.0, Advisor-Managed Assets, 2009-2019
** The Cerulli Report—U.S. Advisor Metrics 2020 – Exhibit 2.03 – Part 1, Overview of Advisor Channels, 2019
THE RIA MODEL SERVES THE EVOLVING NEEDS OF TODAY’S ADVISOR.
Why Choose Us?
WE BELIEVE THAT RELATIONSHIPS ARE NOT ONE-SIZE FITS ALL.
We make it our business to know you and understand your unique needs. Our leadership team takes the time to build personal, one-on-one relationships with each business owner, to be accessible and accountable to you. We provide responsive, individualized service delivered by empowered seasoned industry professionals that know you and your unique business. With us, you’re not just an entry in our book of business.
WE’RE NOT YOUR TYPICAL CUSTODIAN
With us, you’ll have access to a comprehensive wealth management suite, thoughtful insights and flexible technology. Combining the breadth and depth of Wells Fargo with your vision and passion for the business, we believe you’ll have the flexibility and scale you need to grow your business while delivering the client experience you desire at the same time.
WE’RE INVESTED IN THE SUCCESS AND GROWTH OF YOUR BUSINESS.
It’s your vision, your business and your legacy. Whether you’re looking to build through recruiting, acquisition or optimization, we’re here to partner with you at every stage. With us, your growth is our goal.
First Clearing is your guide to create the client experience you desire and the legacy you deserve.
When you work with First Clearing, you’re combining strength, scale and heritage with more than 30 years of providing custody services to RIAs and brokerage firms:
Informed and accessible senior leadership team
accountable to you
Responsive, individualized service delivered by
empowered seasoned industry professionals that know you and your unique business
Full Service Lending 1:
• Easy access securities-based lending offered at competitive rates
• Leading home mortgages services — primary, secondary, vacation, jumbo, investment available through Wells Fargo Home Mortgage
• Business succession planning services for your business owner clients
• Private Banking suite3, including custom lending facilities, liabilities management services and capital restructuring
Industry leading technology platform:
Fusion—powered by TradePMR
• Digital account opening /document generation and e-signature
• Portfolio modeling, management and rebalancing
• Flexible billing capability, digital service request processing and custom performance reporting
• Digital client portal
• Fintech portal for integration with 3rd party software to support your unique tech stack
Turn-key investment solutions: Wells Fargo’s advisory platform and Adhesion Wealth Advisor Solutions6, both providing access to third party SMAs and managed investment programs, together with Seamless securities processing including equities, fixed income, Mutual Funds, 529s, ETFs, CDs
Online research offering from Wells Fargo
Investment Institute, including daily market updates and live client calls, as well as research from other top rated research providers
Expert Life Event Consulting: Corporate executive services, tax planning, Social Security/Medicare benefits, Estate plan analysis, Trust Services
Proven third-party supported processing solutions for Annuities, Alternative Investments and Insurance
Dedicated team of transition specialists
Advisor Recruiting Services with expert onboarding, training and support
Access to extensive network of third party consultants to help support all your business needs
Growth Accelerator® advisor development and coaching program
Succession strategies and valuation services
Capital support and M&A opportunities
1 Lending services accessed through Wells Fargo Clearing Services or its affiliates including securities based financing, residential mortgages, business financing and credit cards.
2 Securities based lending has special risks and is not appropriate for everyone. If the market value of a client’s pledged securities declines below required levels, the client may be required to pay down his or her line of credit or pledge additional eligible securities in order to maintain it, or the lender may require the sale of some or all of the client’s pledged securities. Wells Fargo Clearing Services, LLC will attempt to notify clients of maintenance calls but is not required to do so. Clients are not entitled to choose which securities in their accounts are sold. The sale of their pledged securities may cause clients to suffer adverse tax consequences. Clients should discuss the tax implications of pledging securities as collateral with their tax advisors. First Clearing and its affiliates are not tax or legal advisors. An increase in interest rates will affect the overall cost of borrowing. All securities and accounts are subject to eligibility requirements. Clients should read all line of credit documents carefully. The proceeds from securities based lines of credit may not be used to purchase additional securities, pay down margin, or for insurance products offered by Wells Fargo and any of its affiliates. Securities held in a retirement account cannot be used as collateral to obtain a loan. Securities purchased in the pledge account must meet collateral eligibility requirements.
3 Lending and other banking services available through Wells Fargo Clearing Services, LLC (NMLS UI 2234) are offered by banking and non banking subsidiaries of Wells Fargo & Company, including, but not limited to Wells Fargo Bank, N.A. (NMLSR ID 399801), Member FDIC, and Wells Fargo Home Mortgage, a division of Wells Fargo Bank, N.A. Certain restrictions apply. Programs, rates, terms, and conditions are subject to change without advance notice. Products are not available in all states. Wells Fargo Clearing Services, LLC is licensed by the Department of Business Oversight under the California Residential Mortgage Lending Act and the Arizona Department of Financial Institutions (NMLS ID 0906158). Wells Fargo Clearing Services, LLC, holds a residential mortgage broker license in Georgia and is licensed as a residential mortgage broker (license number MB2234) in Massachusetts.
4 Wells Fargo Private Bank offers products and services through Wells Fargo Bank, N.A. and its various affiliates and subsidiaries. Wells Fargo Bank, N.A. is a bank affiliate of Wells Fargo & Company.
5 Wells Fargo Investment Institute, Inc. (WFII) is a registered investment adviser and wholly owned subsidiary of Wells Fargo Bank, N.A., a bank affiliate of Wells Fargo & Company.
6 Adhesion Wealth Advisor Solutions, Inc. is a registered investment adviser and wholly owned subsidiary of Vestmark, Inc. and is not affiliated with Wells Fargo & Company.
7 TradePMR, Inc. is a privately held brokerage and custodian service provider for Registered Investment Advisors and is not affiliated with Wells Fargo & Company.