BROKER DEALER
FOR INDEPENDENT RIAs
Over 60 of our offices nationwide consist of financial advisors who are affiliated with APW Capital, Inc. for “fee-friendly” broker-dealer services, but who provide investment advisory services to clients through their own unaffiliated Registered Investment Advisor firm. Such firms have a different name from our companies, and are independently owned by the financial advisors. Those advisors are responsible for the compliance, operations and technology infrastructure of their own organization, and only interact with us for Broker-Dealer business. Usually, very little to none of the fee income generated by their independent investment advisor is received by us. We are one of the leading firms in the industry in this space.
Advisors who only join APW Capital, Inc. gain access to a broad-based Broker-Dealer platform with many of the same benefits as those affiliated with our RIA, Aurora Private Wealth. These include a streamlined, best-in- breed technology offering, institutional pricing on certain products and services, succession planning support with a ready market for the sale of their business, practice management support, access to institutional fixed income offerings, and more.
Aurora Private Wealth supports Advisors’ transition to the fee based world, allowing them to continue to benefit from the trails of their legacy business while still being able to support their clients with mutual funds, 529 Plans, variable annuities, alternative investments, and traditional transaction based brokerage accounts through our clearing relationship with Pershing, part of the BNY/Mellon family of companies.