Commission vs Fee
Your Business | Our Solutions
We recognize that you have many options in how to structure your business. Coupled with our expertise in alternative investments, we have created many solutions and partnerships to fully accommodate whatever you have chosen.
Perhaps you are just starting out, and want to explore the benefits of different business models. Perhaps you run an established practice and have already crafted a model that works for you. The DFPG Advantage purposefully aligns our people, our product, and our process, to not just allow these models, but to enable each type to thrive and grow.
BROKER-DEALER BUSINESS
Direct/Application-Way
A successful independent practice must have an efficient and effective method for Direct and Application Way business, such as alternative investments or annuities. At DFPG, our operations department works closely with sponsors and issuers to help streamline that important process.
Brokerage
In the right situations, having a full-service clearing firm can provide you and your clients the type of service and simplicity you need. DFPG has partnered with RBC Correspondent Services, one of the largest and most respected companies in the financial industry, to offer you a clearing and custody platform that is designed to meet your brokerage needs.
HYBRID RIA
If you intend to conduct fee-based business, one of the most important decisions you face is whether to operate your own RIA or utilize your broker-dealer’s RIA. If you have not made this important decision, then we encourage you to read about the benefits of utilizing DFPG’s RIA (see below).
For those who own their RIA, DFPG provides a robust hybrid solution by allowing you to maintain your desired independence while still providing you the necessary regulatory oversight and practice management ideas to help you grow your practice.
DFPG RIA
If you are looking for a turnkey solution to offer your clients fee-based services, while maintaining your independence and ownership, we are pleased to offer the services of DFPG’s Wealth Management division.
Leverage our operational support, due diligence, and compliance expertise, as well as a robust custodial platform with an array of third-party money managers, to provide advisory services to your clients that prefer a fee-based model and different approach to wealth management.
