Fiercely Independent

For a half-century, Royal Alliance has focused on the entrepreneurial advisor who is driven to build a superior financial practice—those that build offices, deliver sophisticated advice, and create significant, sustainable success.

The Firm for Premier Advisors

Advisors who choose to partner with Royal Alliance are intensely motivated and are fiercely independent. They have earned a level of success that sets them apart from most and with us they find the dedicated service that enables them to take their business further and faster.

We offer you the premier technologies, support and solutions required to help you bring your business goals to fruition. And we do so while allowing you to maintain the autonomy you desire and deserve. Everything we offer is provided in accordance with what has long been our trademark: a unique and empowering culture, defined by relationships based on mutual trust, loyalty and integrity.

Rewarding Success

Whether you are a veteran advisor ready to ramp up your thriving business or a top wirehouse performer seeking the empowerment of independence, Royal Alliance understands what it takes to achieve exceptional success.

We also understand the effort and dedication it takes to achieve at a high level and we reward that success accordingly. This goes beyond one of the highest payouts in the industry that our top advisors are afforded, to include special recognition at our national conferences as well as inclusion in exclusive events held in prime destinations.

One of America’s Largest Networks

When you join Royal Alliance, you join a dynamic group of peers who share your drive and understand your challenges. You join a roster of highly successful practice owners. And you join a broker-dealer with the resources, capital and experience of one of America’s largest networks of independent advisors—Advisor Group. We invite you to consider the many strengths and benefits of Royal Alliance when you are ready to make a move.

Strengths & Benefits

In today’s challenging and ever-changing investment environment, a financial advisor needs the most sophisticated technology and advanced tools available. That’s why we stay ahead of the curve with a goal of empowering our advisors to meet client needs while providing customized support that delivers solutions and generates growth. Take a moment and consider the benefits of Royal Alliance.

Flexibility and Freedom We’re a broker-dealer designed to conform to the vision you have for your practice rather than making you adapt to ours. Our goal is to enhance everything you bring to the table.

OSJ Office Support Our industry-leading OSJs give you the best of both worlds: the personal touch of a local boutique broker-dealer while not sacrificing the horsepower and resources of a major firm that stands firm behind you. Bring your office to us, and we’ll bring advisors to you.

Adaptable Technologies We listen to our advisors and offer services such as an integrated CRM, paperless solutions, and digital forms among many other tools. These systems provide streamlined efficiencies and improved profitability.

Advisory Platforms We support Advisor Managed Portfolios and offer SMA, UMA and Model Portfolio Strategist options. You can access these and other programs through the Corporate RIA or have an Independent RIA affiliation.

Compensation & Rewards With one of the highest payouts in the industry—in some cases up to 97%—we reward advisors through compensation and special recognition, benefits, and exclusive events at premier destinations.

Affiliation Options We respect the fact that not all advisors are comfortable with the same broker-dealer relationship. For that reason we offer a choice of affiliations from OSJs and direct independent advisor status to dynamic Hybrid RIA options. You choose what works best for you.

Growth & Business Planning Royal Alliance’s Business Development Team is available to help you chart out your future and then provide coaching and effective sales training designed to help you reach your personal goals.

Diverse Product Options We provide thousands of investment options from the industry’s premier firms as well as access to elite sponsor support. We value your independence and do not require sales of any proprietary product.

Complex Case Support Our Advanced Sales Team, consisting of experienced in-house attorneys, is a unique offering within the independent broker-dealer channel. This team will work closely with you on challenging situations and specific investment opportunities.

Service & Support

At Royal Alliance, we are serious about the support and services you’ll receive from us. To that end, in addition to competitive payouts, we offer teams and dedicated personnel that are available to help in your everyday operations.

And, because your workday doesn’t necessarily end when the sun goes down, we offer extended hours with live and experienced telephone customer service. You can operate with the confidence that we will respond quickly and appropriately to your needs. When we don’t have the answers at our fingertips, we will immediately mobilize as a team to find what you are looking for.

Resources for Today’s Demands

Everything we bring to the table for financial advisors is in accordance with what has long been our trademark: a unique and empowering culture defined by a commitment to partnership, teamwork, excellence, and forthrightness.

Among other more specific resources, you can expect:

  • A liberating open architecture approach that maximizes your flexibility and supports the way you want to do business
  • Coaching programs designed for immediate impact which give you the tools you need to significantly grow your business
  • Training for your entire team on our advanced technology solutions that simplify the “business side” and strengthen the “client side”
  • Specialized business conferences to advance your knowledge and create supportive networks among advisors
  • Customizable, client-approved advertising and marketing materials
  • A relevant and robust library of financial services content that is updated daily
  • An Online Registration Center to help on-board new advisors easily and efficiently to your office
  • Leveraged buying power on software and services with pre-arranged discounts
  • A focus on “your voice” through advisor-led committees that offer early input on important issues
  • ConnectED: perhaps the industry’s most impressive national educational conference, held annually with an invitation to all of our affiliated advisors.
  • Insurance and retirement planning services that will help you grow while giving you the edge on the competition
  • When it’s time for you to retire or move on, our Succession Planning Team presents real, dollar-based options that can assist in planning your own future.

Transition Support

When you’ve reviewed all of the facts and made the decision to join Royal Alliance, we will do everything possible to ensure a seamless transition. Throughout the years, we’ve helped thousands of advisors like you successfully make this all-important change and, although it requires careful attention, it is easily accomplished.

To begin with, you’ll have the services of a team of transition professionals, including a dedicated transition liaison. These experts will work closely with you to thoroughly plan your transition process according to your unique requirements and needs and then will guide you through it every step of the way.

Four Easy Steps

Through our exclusive approach to onboarding, the experience is neither daunting nor time-consuming. In just four steps, you can easily transition your practice into Royal Alliance. In short, the process is as easy as this:

Step 1: Talk After some introductory conversations, we will start gathering information to make for a smooth transition. Our team will get to know your business and, through our online pre-registration forms, will determine how best to supervise and transition your business.

Step 2: Track Together we will create a customized game plan for your transition, give you a link for forms and registration, and provide you with dedicated assistance.

Step 3: Transition Our transition team will help move your book of business while providing training on key website tools and systems. Based on your GDC level, a liaison will also simultaneously submit your advertising pieces for initial review and input.

Step 4: Takeoff! In the final stage, our transition team reviews any outstanding issues and accounts not yet transferred. You will then be introduced to our service group that will be available for ongoing support and assistance.

Individual Office Support

Royal Alliance has even simplified the process for OSJ pre-hire review and affiliation by allowing you to complete the majority of your paperwork online, saving you time, and sparing you frustration. Through our Online Registration Center, incoming advisors create a personalized profile and complete the necessary forms on their own schedule because it’s designed to save progress and return at any time. Instant feedback is available throughout the process to ensure that you have our full support.

Feel Free to Express Yourself

Making a move is a big change. By providing us with a little information about you and your background, we can propose solutions customized for your situation. Please complete and submit the form below and we will be in touch very soon.

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