Join Our Team
Grow Your Practice
Being a part of the Golden State team affords you an extensive support system to operate and manage your business. Through an elite set of business partners and custodians, you are provided with the resources you need to grow and manage your practice. Experience the collaboration and partner with Team Golden State.
The Golden State Experience
A Culture of Empowerment
- Design your business your way
With Golden State, we help you build your brand and customize your tech stack so you can run your business your way.
- Flexible affiliation options
Fee-only or hybrid? Regardless of how you want to affiliate or run your business, Golden State has a platform that can support your operational needs.
- Multiple custodians
Golden State has custodial relationships with Raymond James, Charles Schwab, BNY Mellon | Pershing and LPL*. As an investment advisor representative with Golden State, advisors can choose to custody the assets at any one of them or several of them simultaneously.
- Robust advisor community
Golden State has over 60 advisors in several different states and we continue to expand. Advisors can benefit by networking with like-minded professionals within the Golden State community.
Creating Greater Value
- Dedicated transition support
Golden State has systemized and refined the transition process for financial professionals that are moving from a large firm, such as a wirehouse, or from their own practice. A dedicated team works diligently with you to provide a seamless and successful transition.
- In-house compliance oversight
Golden State provides compliance oversight for broker-dealer advisors as an OSJ and Chief Compliance officer for IARs. The RIA space typically allows for more flexibility on compliance because of our close relationship with our advisors as opposed to large BDs who may manage compliance with one-size-fits all approach.
- Marketing and branding support
Our CMO has over 20 years of financial services marketing experience and is here to assist with personal brand development, marketing material and consulting. Advisors have access to an online, self-automated system of pre-approved content that can be white-labeled to adhere to your own brand.
- Technology assistance
Golden State believes that technology married with personalized financial advice is the future of our industry. We are focused on delivering high quality tools from both third parties, and internally built proprietary tools. Let us show you how our various tools and integrations can power your business.
- Practice management consulting
Utilize Golden State for consulting and business support. We understand that no two practices are alike and Golden State aims to deliver a level of business consulting tailored to an advisor and their unique practice. Whether you are looking for coaching, M&A opportunities, or a succession plan, we’ve got the resources you need.
Enriching Your Business Model
- Turnkey asset management program (TAMP)
We pride ourselves on the fact that our TAMP is run through a purpose-built asset management RIA. With optional participation, the program is available to help advisors work more efficiently by outsourcing portfolio management to a team of CFAs and analysts who actively manage the assets so advisors can spend more time prospecting and spending time with clients.
- Golden State Insurance Services
An in-house wholly owned brokerage general agency (BGA) provides an enhanced level of service and support. Keep in mind that Golden State is not prescriptive, and an advisor is always free to use the BGA or Independent Marketing Organization of their choice.
- Golden State Mortgages Services
Recognizing that clients would rather turn to their financial advisor for home financing needs, this in-house lender resource is available for advisors to incorporate into their business model.
Wondering What a Move to an RIA Would Look Like For You?
Whether you are serious or just curious about what a move would entail or look like for you, these articles can help you understand what is expected from finding an RIA to transitioning your business. Click the links below to learn more or contact us for a one-on-one confidential conversation about whether a move is right for you and finding the right fit.
Top Five Reasons to Outsource Your Asset Management
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Outsourcing portfolio management and utilizing a turnkey asset management program (“TAMP”), or centrally managed portfolio strategies, can offer financial advisors many benefits.
Unleashing the Power of Marketing for Independent Financial Advisors
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In the dynamic landscape of financial advisory, the significance of effective marketing strategies cannot be overstated.
How Digital Advice Platforms Can Grow Your Business
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As the world continues to become more digital, financial advisors are seeing the benefits of incorporating digital advice platforms into their business strategies.
"RIA Series: 1 - What to consider when moving to an RIA"
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A guide that explains why an advisor may want to consider a move, what to consider with a move and how to make a transition most effective.
The Advantage of Working with a Brokerage General Agency
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Financial advisors can take a personalized planning approach with their clients by working side-by-side with a brokerage general agency.
How to make your RIA transition most effective.
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Transitioning to a new RIA can be a complex process that requires careful planning and execution. To make your transition most effective, it is important to understand all aspects of your business move and to stay relevant with all parties involved during the process.
I’ve decided to become an independent advisor. Now what?
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It’s critical to do your due diligence and understand all aspects of choosing an RIA before making a transition. Not all RIAs are created equal and finding the right fit that aligns with your profile may take some time and research.
Considering a move to independence?
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There are many reasons an advisor would benefit from joining an independent registered investment advisor. However, prior to such a move, it is critical to do your due diligence and understand all aspects of the business change before taking the step.
Working Together
Through our collaboration, consultation, and support, we work with you through every stage of your practice and customize it so that you can attain the level of autonomy over your business that you aim to achieve. Golden State’s efficient business systems, platforms and affiliations take the brunt of the time-consuming day-to-day operations and portfolio management process, so that you can have the freedom to focus on developing your client relationships and increasing your practice value.
* BNY Mellon | Pershing, Charles Schwab & Co., Inc., LPL Financial and Raymond James are the firms that we use to custody our client assets. These companies and entities named are separate and unaffiliated firms, and are not responsible for each other’s services or policies. These companies mentioned herein do not endorse or recommend any advisor and the use of their logos do not represent the endorsement or recommendation of any advisor. Used with permission. BNY Mellon | Pershing and Golden State are separate, unaffiliated entities, each responsible for its own services and policies. Trademarks belong to their respective owners. The information on this website has been independently produced by Golden State. Golden State is independent of, and has no affiliation with, Charles Schwab & Co., Inc. or any of its affiliates (“Schwab”). Schwab is a registered broker-dealer and member SIPC. Schwab has not created, supplied, licensed, endorsed, or otherwise sanctioned these materials nor has Schwab independently verified any of the information in them. Golden State provides you with investment advice, while Schwab maintains custody of your assets in a brokerage account and will effect transactions for your account on our instruction.