What are the responsibilities and job description for the Registered Investment Advisor position at The Employee Connect?
Title: Registered Investment Advisor (RIA)
Location: Nationwide (U.S.)
Pay: Commission-based, typically around 1% of assets under management
Job Description:
Our client, a leading financial services firm, has ongoing opportunities for Registered Investment Advisors across the U.S., allowing candidates to remain in their current location. This is an ongoing search.
Unlike traditional job searches, this is not a salaried position. We seek established Registered Investment Advisors (RIAs) who have built a book of business exceeding $30 million in client assets. These professionals manage investment portfolios and earn revenue through commissions based on assets under management.
Ideal Candidate Profile:
- Typically has 20 years of experience in wealth management
- Manages a minimum of $30-$40 million in client assets
- Currently an independent advisor or part of a small team
- Looking for solutions to ease compliance burdens and focus more on client acquisition and management
- May seek to join a larger practice with increased support and infrastructure
- Interested in succession planning or a structured exit strategy
- Based in North America with no active non-compete or non-solicit agreements
- Not recently terminated from an advisory role
Why Consider This Opportunity?
Many independent RIAs struggle with the increasing complexity of compliance regulations and back-office operations, which can detract from their ability to focus on client growth. Our client provides advisors with:
- Class A office facilities and operational support
- A robust infrastructure for compliance, marketing, and portfolio management
- Succession planning options for retirement or exit strategies
- A network of established advisors and access to extensive investor resources
- Flexible support structures that allow advisors to scale their businesses while retaining autonomy
Our wealth advisory partners offer tailored solutions to match advisors with firms that align with their goals and business models.
Available Structures & Benefits:
Depending on the advisor’s goals, potential offerings include:
- Base salary (for certain structures)
- Comprehensive benefits
- Dedicated office facilities
- Operational & marketing support
- Compliance expertise to reduce regulatory burdens
Advisors seeking growth, stability, or succession planning will find multiple paths that align with their long-term vision. Many advisors have grown their businesses as much as possible independently, and we offer strategies to unlock exponential growth through acquisitions, structured scaling, and enterprise-level transitions.
If you’re a financial advisor looking to optimize your business model, simplify operations, or develop an exit plan, we can provide options to help you achieve your goals.
Please Note: To ensure confidentiality and maximize potential earnings, all inquiries and applications should be directed through our firm. Do not apply directly to financial firms, as this may forfeit potential benefits and structured opportunities we can offer.
Must-Haves / Requirements Summary:
- Active RIA status with a verifiable book of business exceeding $30 million
- 20 years of experience managing client assets
- U.S.-based advisor with the ability to transition clients
- No active non-compete or non-solicit agreements
- Seeking enhanced infrastructure, growth opportunities, or succession planning