Registered Investment Advisors/Hybrid Advisors

While RIAs are focused primarily on the investment process, there’s still the matter of running a firm subject to regulatory oversight, as well as day-to-day business matters – it runs the gamut from simple items like, email review and retention to conducting the firm’s annual risk assessment and testing to handling SEC exams and so on. That’s why many small- and mid-sized RIAs with diverse requirements turn to Cantella for help fulfilling their needs with efficient solutions.

These are firms that want to manage money their own way yet don’t have the infrastructure to efficiently run the business with all the necessary operational and compliance underpinnings required to properly run a professional RIA.

These firms want to maintain their independence and culture while relying on Cantella to provide all of their “vendor” needs. They recognize that we bring a rare understanding of the needs of their business and the financial business generally.

This market typically looks to us:

  • For friendly broker/dealer intermediary services that do not overstep and impose FINRA regulatory oversight on the RIA business
  • To leverage our clearing relationships with National Financial, Pershing or Raymond James to custody the RIA
  • To leverage our connectivity with outside custodians (e.g. Pershing Advisor Solutions or Raymond James Investment Advisory Division )
  • For access to commission-based financial and insurance products
  • For flawless execution and operational support
  • For compliance support and consultation
  • For superior technology including integrated reporting, business intelligence analytics, electronic workflow with e-signature capabilities, client online account access, client data aggregation and access to Cantella’s document vault for account documents, advertising, correspondence and simplified production during regulatory exams
  • For email and/or website hosting and archiving, including interfaces for you to review and evidence approval
  • For access to our IT support desk for general troubleshooting, cybersecurity best practices and recommended hardware and software solutions
  • For assistance with Written Supervisory Procedures, ADV II/firm brochure, Code of Ethics, and Investment Advisory Contracts
  • For access to our Advisory platform technology and offering
  • For access to our Capital markets Team

For more information on partnering with Cantella please contact Jay Lenaghan at 617-224-1462 or John Sullivan at 617-224-1437 or click here "Partnering with Cantella".

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