Independent Broker/Dealer - RIA

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Expert resources and cutting edge technology.

PlanStrong investment professionals are supported by administrative, operations and client service personnel at our broker/dealer-RIA, Commonwealth Financial Network.

 

What is a broker/dealer–RIA?

A broker/dealer–RIA is a company that a registered investment professional is required to affiliate with in order to buy and sell investment products on behalf of investors. The Securities and Exchange Commission (SEC) delegates the supervision of financial advisors to the Financial Industry Regulatory Authority (FINRA). FINRA, in turn, requires us to choose a broker/dealer to partner with on your behalf.

 

Why Commonwealth Financial Network®?

As the nation’s largest privately held independent broker/dealer–RIA, Commonwealth has the scale, stability, and resources to help us deliver the solutions our clients need.  With a staff of approximately 810, Commonwealth helps approximately 1,710 independent advisors serve their clients and manage total account assets of approximately $114.4 billion.*  The fact that we’ve chosen to work with Commonwealth means that our firm remains independent and free to act in your best interest, without any pressure to promote proprietary products or strategies.

 

How Commonwealth helps us help you

Commonwealth goes far beyond what’s required of a broker/dealer by making it easier for our firm to provide you with the best possible guidance and the prompt, personal service you expect and deserve.

  • Investment choice. Commonwealth offers us robust, independent market research and a broad universe of investment options.

  • Service. The firm's advisor-to-staff ratio is one of the best in the industry, so our calls are answered promptly, and transactions are executed quickly and accurately.

  • Technology. Commonwealth's integrated web-based  platform is a critical component in our ability to provide you with first-class service and support.

  • Security. Commonwealth is second to none in its commitment to safeguarding your privacy and ensuring that your investment data remains secure.

 

Commonwealth Resources

Commonwealth provides a deep bench of subject matter experts to help us provide you with the best possible guidance and service, including:

  • Investment portfolio construction: Through the Commonwealth Research team, we tap into institutional-quality research—21 seasoned experts who deliver information on the topics that matter most to you, from analysis of the market and economy to asset allocation and portfolio construction.

  • Executive compensation planning: The Commonwealth Advanced Planning department is a team of 7 professionals with highly specialized knowledge that helps us construct strategies to help maximize the benefits your company provides.

  • Estate and tax planning: The Commonwealth Advanced Planning department also helps us construct strategies to preserve your assets and ensure that they go to the people and causes you choose. They also develop plans to help minimize your tax burden.

  • Risk management: With a team of 19 professionals experienced in all aspects of risk management, the Commonwealth Insurance department helps us construct plans for protecting your most important assets: life, health, and finances.

  • Corporate retirement planning: The Commonwealth Retirement Consulting Services team of 14 CFP® professionals, AIFs®, and APAs provides us with expertise necessary to design economic and effective retirement plan solutions.

If you'd like to know more

We'd be glad to talk with you further or answer any questions you may have about our affiliation with Commonwealth. Please feel free to give us a call.

*As of 12/31/16