What We Offer: Affiliation Models

Pursue whatever affiliation model works best for you. You can feel confident we’ve got you covered with the right combination of people and infrastructure you need to serve your clients and drive your business, now and in the future.

Be The Advisor You Want To Be.

WITH EVERY MODEL, THE INFRASTRUCTURE‘S INCLUDED

Select the model that fits your practice and your clients. Choose from registered representative, dual registration, investment adviser representative (IAR) under our corporate RIA, registered investment adviser, or hybrid models. Whatever path you take, you can rely on us to deliver flexible, holistic support that works for you both today and as your business evolves, including:

  • Fully integrated technology that seamlessly incorporates everything you know that‘s important to your clients with how your firm operates, helping you forge deeper relationships
  • Practice management consulting to provide guidance on staffing, marketing, succession planning, and more
  • Compliance support and tools, or complete oversight and auditing, depending on your choice of affiliation
  • A seamless transition supported by a firm-wide team of experts who are at your disposal
  • Advanced planning expertise to help you provide solutions for clients with complex wealth and financial planning needs
  • Turnkey marketing support ranging from customizable single-use communications to ongoing, value-add programs, all at your fingertips to help you build your brand and your business
  • Educational and top-producer conferences that have helped to set the standard in the industry and provide unparalleled development and networking opportunities
  • Research analysis and support from our award-winning team to help you deliver the knowledge and guidance your clients expect

Bringing it all together is the community of individuals that distinguishes Commonwealth: people who celebrate your independence, share your vision and passion for success, and stand ready to do whatever it takes to deliver a better and more productive overall experience for you and your clients.

A TRADITIONAL MODEL THAT DELIVERS INNOVATION

Participate in straight commission-based brokerage business as a registered representative and enjoy a payout of up to 95%, along with all the support and added value that Commonwealth has to offer, including:

  • A seamless transition. This is the last move you should ever have to make, so our firm-wide team of experts is at your disposal every step of the way to help ensure that you have the best overall experience possible. You can feel confident knowing our shared goal is maximum retention of your clients and their assets.
  • A truly integrated technology platform. We’ve built and continue to refine our systems to work the way you do. Our technology integrates everything you know that’s important to your clients with the distinct way your firm operates—enabling you to drive more productive interactions and form deeper relationships.
  • Practice management consultants. Our specialists help you embrace the role of CEO—offering guidance on everything from hiring staff to marketing your brand to creating a succession plan.
  • The compliance support you need. Commonwealth’s full Compliance infrastructure, support, and oversight is at your disposal, including a team of consultants who understand your objectives and see themselves as an extension of your team, working to help you achieve them.
COMBINE COMMISSIONS AND FEES THROUGH OUR B/D–RIA

As a dually registered advisor, you can take full advantage of our broker/dealer and investment adviser registrations to conduct your commission-based business—with a payout of up to 95%—and your fee-based business—with a payout as high as 98%*.

Whether you choose to handle the investment management yourself or outsource it to subadvisors, you can enjoy maximum freedom and flexibility. Select from Commonwealth’s wide array of commission-based products or from our Preferred Portfolio Services® (PPS) platform, Wealth Management Consulting program, and other advisory services, based upon your clients’ needs.

We’ve got you covered with resources, service, and support you can rely on, including:

  • A seamless transition. This is the last move you should ever have to make, so our firm-wide team of experts is at your disposal every step of the way to help ensure that you have the best overall experience possible. You can feel confident knowing our shared goal is maximum retention of your clients and their assets.
  • A truly integrated technology platform. We’ve built and continue to refine our systems to work the way you do. Everything you need—from trading and CRM to document storage and performance reporting for both your commission and fee business—is integrated on a single platform. And because our technology incorporates everything you know that’s important to your clients with the distinct way your firm operates, you’re able to drive more productive interactions and form deeper relationships.
  • Practice management consultants. Our specialists help you embrace the role of CEO—offering guidance on everything from hiring staff to marketing your brand to creating a succession plan.
  • The compliance support you need. Our full Compliance infrastructure is at your disposal for both sides of your dually registered business—including a team of consultants who understand your objectives and see themselves as an extension of your team, working to help you achieve them.

*Administrative fees vary based on your overall fee-based assets.

A HYBRID RIA MODEL FOR THE BEST OF BOTH WORLDS

As a hybrid advisor, you can maintain your commission-based revenue stream under our broker/dealer and receive a payout of up to 95%, and conduct your advisory and planning business through your own RIA with a 100%* payout.

We’ve got you covered with resources, service, and support you can rely on, including:

  • A seamless transition. This is the last move you should ever have to make, so our firm-wide team of experts is at your disposal every step of the way to help ensure that you have the best overall experience possible. You can feel confident knowing our shared goal is maximum retention of your clients and their assets.
  • A truly integrated technology platform. We’ve built and continue to refine our systems to work the way you do. Everything you need for your hybrid RIA business—from trading and CRM to document storage and performance reporting for both your commission and fee business—is integrated on a single platform. And because our technology incorporates everything you know that’s important to your clients with the distinct way your firm operates, you’re able to drive more productive interactions and form deeper relationships.
  • Practice management consultants. Our specialists help you embrace the role of CEO—offering guidance on everything from hiring staff to marketing your brand to creating a succession plan.
  • The compliance support you need. For business conducted under your own RIA, take advantage of surveillance reports that help you manage your compliance obligations, and call on our in-house team of experts any time with questions. We also offer discounts to third-party specialists we’ve done the due diligence on, who can provide you with regulatory guidance. For your commission business under our broker/dealer, our full Compliance infrastructure is at your disposal—including a team of consultants who understand your objectives and see themselves as an extension of your team, working to help you achieve them.

*Administrative fees vary based on your overall fee-based assets and specific business mix.

EXPERIENCE FEE-ONLY INDEPENDENCE LEVERAGING OUR CORPORATE RIA

Conduct an exclusively fee-based business as an Investment Adviser Representative (IAR) of Commonwealth—with a payout up to 100%*—and gain access to the full array of investment choices your clients demand through our Preferred Portfolio Services® (PPS) and approved third-party platforms.

Whether you choose to handle the investment management yourself or outsource it to subadvisors, you can enjoy maximum freedom and flexibility under our corporate RIA. Select from Commonwealth’s PPS platform, Wealth Management Consulting program, and other advisory services, based upon your clients’ needs.

We’re behind you all the way with the resources, service, and support you can rely on, including:

  • A seamless transition. This is the last move you should ever have to make, so our firm-wide team of experts is at your disposal every step of the way to help ensure that you have the best overall experience possible. You can feel confident knowing our shared goal is maximum retention of your clients and their assets.
  • Award-winning research team. Tap into the institutional-quality analysis and due diligence our team does on your behalf. From analysis of the markets to asset allocation to portfolio construction, it’s added value that’s at your disposal whenever you and your clients need it, at no additional charge.
  • A truly integrated technology platform. We’ve built and continue to refine our systems to work the way you do. Everything you need—from trading and CRM to document storage and performance reporting—is integrated on a single platform. And because our technology incorporates everything you know that’s important to your clients with the distinct way your firm operates, you’re able to drive more productive interactions and form deeper relationships.
  • Practice management consultants. Our specialists help you embrace the role of CEO—offering guidance on everything from hiring staff to marketing your brand to creating a succession plan.
  • The compliance support you need. As an IAR under Commonwealth’s corporate RIA, our full Compliance infrastructure is at your disposal, including a team of consultants who understand your objectives and see themselves as an extension of your team, working to help you achieve them.

*Administrative fees vary based on your overall fee-based assets and specific business mix.

RIA-ONLY DOESN’T MEAN RIA ALONESM

Experience the advantages of running your advisory and planning business through your own RIA—including 100%* payout—without the responsibilities of maintaining your own infrastructure. You create the fee structure that works for you and maintain complete control over how you provide advisory, asset management, and financial planning services. So you have complete flexibility in how you market and run your business—and we take care of the rest.

We’re behind you all the way with the resources, service, and support you can rely on, including:

  • A seamless transition. This is the last move you should ever have to make, so our firm-wide team of experts is at your disposal every step of the way to help ensure that you have the best overall experience possible. You can feel confident knowing our shared goal is maximum retention of your clients and their assets.
  • A truly integrated technology platform. We’ve built and continue to refine our systems to work the way you do. Everything you need—from trading and CRM to document storage and performance reporting—is integrated on a single platform. And because our technology incorporates everything you know that’s important to your clients with the distinct way your firm operates, you’re able to drive more productive interactions and form deeper relationships.
  • Practice management consultants. Our specialists help you embrace the role of CEO—offering guidance on everything from hiring staff to marketing your brand to creating a succession plan.
  • Only the compliance support you need. Take advantage of surveillance reports that help you manage your regulatory compliance obligations, and call on our in-house team of experts any time with questions. We also offer discounts to third-party specialists we’ve done the due diligence on, who can provide you with regulatory guidance.

*Administrative fees vary based on your overall fee-based assets and specific business mix.