THE FORTITUDE ADVANTAGE

Helping you build your business like it's your business.

ARCHITECTURE

Whether you are an independent RIA or prefer to tuck under an existing RIA, we've got you covered.

Total Independence:

  • Utilize platform provider

  • Affiliate with a financial partner

  • Join an existing practice

Maintain Full Control:

  • Use services of platform provider as an independent RIA

  • Open with a financial partner who invests in your practice

  • Join as an employee or partner of an existing RIA

OPERATIONS

Allow Fortitude to focus on operational support while you concentrate on growing your business.

 

Onboarding clients:

  • Full asset review

  • Full review of loans and rates

  • Pricing negotiations

  • Mapping/householding of accounts

  • Facilitation of broker registrations

  • Preparation, distribution and facilitation of client paperwork

  • Integrations of custodian and B/D platforms with investment platform and other applications

  • Full support with tuck-in RIA business transitions

Ongoing operations:

  • Custodian and B/D support

  • New account set-up and linking to portfolio accounting system

  • Assistance and follow-up on all service requests

  • Ability to escalate issues on advisor's behalf

  • Support with forms and applications

  • Support and training with online systems

LEGAL & COMPLIANCE

Advice and guidance in navigating the legal and compliance issues of transition, business formation, registration and the successful operation of a stable enterprise. Our support includes:

  • Breakaway and RIA registration strategy

  • Compliance program design and implementation

  • CCO education

  • Network compliance support

  • Business formation and filings

  • Form ADV and disclosures

  • Filings specific to Registered Investment Advisers (RIA)

  • Compliance and Code of Ethics

  • Disaster Recovery/Business Continuity Plan

  • Counsel retention

  • Outsourced Chief Compliance Officer (CCO)

  • Comprehensive compliance solutions

  • HR & benefits resources

  • Reminders and management of the Quarterly Code of Ethics Transactions Reports

  • Facilitate and assist with annual review of compliance program

  • Document identified areas of improvement and assist with facilitating changes

  • Assist with annual ADV updates

  • Assist with annual distribution of updated ADV and Privacy Policy

  • Manage due diligence files for outside managers through various sources

  • Strategize regarding corporate structure

  • Initiate firm and representative registrations (Form ADV/Form U4)

  • Draft required compliance policies and procedures

INVESTMENTS & RESEARCH

Our open architecture platform allows advisors to choose their own investment strategies, managers and allocations. To enhance your ability to deliver an exceptional client experience Fortitude provides access to in-house and outsourced Chief Investment Officer services, world class managers, research and analytical tools.

 

  • Capital markets and street research

  • Independent investment research database

  • Alternative investment access

  • Customized investment access

  • Customized investment solutions

  • Trading and rebalancing

  • Accounting and reconciliation

  • Trust and estate services

  • Limited purpose Broker/Dealer

  • Pooled vehicles

  • Investment banking

  • 401K

  • Insurance

  • Credit and lending facilities

TECHNOLOGY

Fortitude’s Platform integrates and provides everything you need to run your business in a unified fashion. Customized for you and your business, our platform provides you a dashboard to efficiently manage your business and flexibility to work from multiple locations.

  • Customized to you and your team

  • Work securely from anywhere on any device

  • Two-factor authentication single sign-on to all application

  • Data secure and backed up by world class, fully replicated Tier-4 data centers

  • Disaster recovery planning, testing, security patching, anti-virus and anti-malware

  • Handle all email and file archiving needs, meeting all regulatory compliance requirements

  • Dedicated technical support team 24/7/365

OFFICE NEEDS

Your office communicates a great deal about your culture and work environment. Significant decisions will impact the success of your business for years. Allow Fortitude to help manage these decisions and set a foundation for success.

  • Real Estate search and set-up

  • Assess local market conditions

  • Execute NDA with property management company and real estate Company-CBRE

  • Identify office space and negotiate leasing terms

  • Coordinate furniture and move-in deliveries

  • Construction and build-out assistance

  • Space design

  • Furniture acquisition

  • Facilities management

MARKETING & PR

From your name and logo to creating and launching your independent firm we provide consultation and expertise to the process. To expand and enhance your brand we will help craft a strategy to communicate with your current and future clients in a cohesive approach across public relations announcements, website creation and marketing collateral.

  • Firm naming

  • Logo development and brand identity

  • Website design and development

  • Marketing collateral

  • Marketing strategy

  • Launch announcement

  • Client communications

  • Public relations, media channels

  • Email marketing platform/drip marketing strategies

  • Target newsletter and updates

  • Introduction to Fortitude marketing resources

  • Brand DNA and core messaging

  • Digital/social marketing SEO

  • Stationary design

  • Website development and data platform

  • Public relations and external communications

  • Develop public relations strategy

  • Dedicated public relations expert

  • Preparation for media interview

  • Departure and communication strategy

  • Consult on protocol or non-protocol communication options

  • Draft client letter/communication

  • Assist with digital outreach

SUPPORT

The Fortitude Operations team, our turnkey technology platform and middle back office support is here to service your daily business needs. Additionally, we have experts on staff to help navigate the more complex issues you are facing. Whether it’s our Chief Compliance Officer for regulatory questions, our Chief Technology Officer regarding IT issues, or time with our Chief Investment Officer, Fortitude stands ready to serve your needs and provide solutions.

  • On-site support for transition date

  • Your on-site COO During the transition process

  • Organize client notification welcome kits

  • On-site team coaching and staff training

  • Single point of accountability

  • Client billing and reporting

  • Systems training

  • Troubleshooting and resolution

  • Vendor relationship management

  • Vendor/service provider problem resolution and escalation

  • Vetting and due diligence of technology efficiencies

  • Dedicated team providing administrative and operational support

  • Financial industry knowledge and experience technology, custodian, trading, compliance, operations

  • Portfolio management, reconciliation and reporting

  • Manage and solve all service requests and issues

  • On-demand training

  • Leverage our access to platform-specific relationship managers

  • Integration and data aggregation with custodian

  • Model management and rebalancing tools

  • Client report creation and distribution assistance

BUSINESS FORMATION

Forming an independent firm is a significant undertaking. Fortitude helps advisors ensure that every detail of the transition is addressed in a professional and comprehensive manner.

  • Determine ownership structure

  • Consult legal entity (LLC, Corporation)

  • Assist in drafting operating agreement

  • Determine business insurance needs

  • Transition intelligence

  • Corporate structure

  • Note repayment solutions and transition assistance

  • Capital needs

  • Ongoing operational support

  • Recruiting support

  • Outsourced Chief Financial Officer (CFO)

  • Talent acquisition and development

  • Referral and lead generation programs

  • Advisor training and education

  • Succession planning

  • Introduction to health care provider

  • Payroll

  • Introduce 401K options


Practice Management:

  • Share in the responsibility of managing an RIA across all aspects of the business

  • Our senior relationship management team leverage their combined expertise to co-design and Execute your annual business plan

  • Dedicated relationship manager

  • Marketing and advertising

  • Implementation and transition services

  • Capital strategies