Your SEC Registered Investment Advisor Firm

A shift is coming, will you be pushed out, or will you embrace the shift and thrive?

The securities market is HUGE. 401k’s and IRA’s invested in the stock market have become one of the principle ways that American save for retirement. While we have always believed that your customers and prospects can accomplish many of their financial goals without taking unnecessary risk in the stock market, the securities industry has a different perspective. Securities firms and its regulators continue to push to protect their turf and restrain the insurance only advisor from protecting at risk assets with fixed products and guaranteed income strategies.

Your future depends on your customers and prospects seeing you as a capable, relevant, and compliant advisor. With that in mind, you owe it to yourself to look at becoming an IAR (investment advisor representative).


An IAR with an insurance license can operate in both the fixed and securities market. Your customers will see you as a one stop shop, capable of managing virtually any account. No longer will you have to ask your client to call their current stock broker to liquidate assets or have them explain the value of a fixed solution to their securities broker. Utilizing Folio +’ paperless custodial platform you will be able to ACAT (Automated Customer Account Transfer) customers funds from one firm to your RIA without getting the other advisor involved.


Securities are an important part of the retirement puzzle, but the old theory of buy and hold seems to have lost its luster. The “Quantitative Analysis of Investor Behavior study”, completed by DALBAR in 2017 shows that many customers do not achieve the reported stock market returns because their emotions get in the way. Per this study, in 2016, the 20-year annualized S&P return was 7.68% while the 20-year annualized return for the Average Equity Fund Investor was only 4.79%, a gap of -2.89% annualized. (

By utilizing our Dynamic Investment Management Platform, powered by A Smarter Way to Invest, we take the emotion out of mitigating stock market risk and give the customer a fighting chance for long term growth without the volatility of full buy and hold.


Have your customers or prospects asked you if you were a fiduciary? Have you been told you need a “Financial Institution” to continue to offer FIA’s? With the media pushing the “fiduciary” message we expect consumers to seek out fiduciary advisors. Becoming an IAR not only makes you a fiduciary by default and puts a top-notch compliance team at your fingertips.

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Guardian Pointe Private Wealth Management

Below are some critical thinking points about joining our firm and becoming an IAR.

Solves many regulatory hurdles:

  1. DOL Fiduciary Rule
  2. Source of Funds Issue
  3. Future Regulation
  • Partnered and Built with a Team of Industry Experts
  • Pure Fiduciary and Holistic Planning Platform
  • Ease of Doing Business, Complimenting Compliance Culture
  • Paperless Custodial Platform
  • Nobel Prize Winning Technology
  • Ongoing Educational and Coaching Program
  • Dynamic Investment Management Platform
  • Increase Your Credibility and Reputation
  • Total Share of Wallet (Gather More Client Assets)
  • Fiduciary Mindset and Client Experience
  • Build Reoccurring Revenue Stream
  • Builds Intrinsic Value in Your Practice
  • Get More Referrals, Client Attraction, Retention