Over time, advisors looking for diversification will be interested in generating liquidity from the ownership of their RIAs in order to fund lifestyle needs, acquisitions, succession planning, among other compelling reasons. We offer the Dynasty Revenue Participation Note (RPN) to provide liquidity without limiting management control. This financing option keeps a significant economic incentive in place for the RIA’s principals, while providing the flexibility to buy back the revenue interest at a fixed rate.
Carrie Gallaway CFP® and CeFT®, YorkBridge Wealth Partners
Member of the Dynasty Network since 2016
Dynasty is
Dynasty is the opportunity for independent advisors to truly cater to their clients, to optimize the efficiency of their business, and to fully benefit from the ownership of their own firm. We have designed our services and built our platform to give you that power.
Services
The Dynasty Service Pillars offer a sophisticated and comprehensive array of services that support the Network Advisory Firms on our platform. The Pillars address the needs of successful advisors by articulating our value-based solutions designed to drive business growth.
Dynasty Service Pillars
Community
The Dynasty Community reaffirms likeminded independent advisors and their teams that they are independent, but not alone. You become connected to a powerful collaborative Network.
- Annual Partners Summit / Investments Forum
- Regional Events
- Call Series & D:Talks
- Dynasty Social Network
Technology
The Dynasty Technology platform provides a comprehensive set of integrated tools and capabilities that enable high-performing advisory firms to effectively and efficiently grow their business and service clients. You can tap into a dynamic infrastructure of institutional quality.
- Dynasty Desktop
- Advisor Platform
- Dynasty CRM
- Digital Strategy
Finance
Dynasty Finance and Outsourced CFO empowers an RIA to effectively manage its financial risks with complete confidence in the reporting. We offer you strategic planning, tax and audit-ready books and records, liquidity analysis and institutionalized financial reporting.
- P&L/Budgeting & Capital Sourcing
- Outsourced Bookkeeping
- M&A
- Consulting & Structuring
Investments / Operations
Dynasty Investments provides the research, tools, technology, manager access, and operations and compliance support for an RIA to offer its clients highly professional and scalable investment solutions. Our investment platform provides comprehensive support whether you choose to manage your own portfolio or outsource to our OCIO.
- Investment Research & Consulting
- Research Center & Analytical Tools
- Dynasty TAMP
- Capital Markets & Investment Banking
Marketing
Dynasty Marketing fully prepares an RIA to strategically manage its brand for communication with clients, partners, prospects, its community and the media. This includes a robust strategy for managing your branding, PR, client experience and digital presence -- all aligned with your business goals and overall marketing objectives.
- Brand & Marketing Strategy
- Public Relations
- Client Experience
- Digital Marketing
Compliance
Dynasty Compliance will provide the legal and compliance support for an RIA – from the set-up of a new RIA to the training of a designated CCO. We’ll give you the compliance guidance and ongoing support to enable you to successfully operate in conformance with regulatory requirements.
- Legal Structure & Governance
- RIA Registration & Licensing
- CCO Education
- Network Compliance Support
Practice Management
Dynasty Practice Management shares the responsibility of managing an RIA across all aspects of the business. Our senior Relationship Management teams leverage their combined expertise to co-design and execute on your annual business plan, while carefully selecting appropriate resources to help you achieve optimal results and growth.
- Dedicated Relationship Manager
- Business Design & Consulting
- Implementation & Transition Services
- Business Operations
Dynasty Community
Dynasty Technology
Dynasty Finance
Dynasty Investment/Operations
Dynasty Marketing
Dynasty Compliance
Dynasty Practice Management
The Dynasty Community reaffirms likeminded independent advisors and their teams that they are independent, but not alone. You become connected to a powerful collaborative Network.
- Annual Partners Summit / Investments Forum
- Regional LIVE! Events
- D:Talks
- Dynasty Social Network
The Dynasty Technology platform provides a comprehensive set of integrated tools and capabilities that enable high-performing advisory firms to effectively and efficiently grow their business and service clients. You can tap into a dynamic infrastructure of institutional quality.
- Dynasty Desktop
- Advisor Platform
- Dynasty CRM
- Digital Strategy
Dynasty Finance and Outsourced CFO empowers an RIA to effectively manage its financial risks with complete confidence in the reporting. We offer you strategic planning, tax and audit-ready books and records, liquidity analysis and institutionalized financial reporting.
- P&L/Budgeting & Capital Sourcing
- Outsourced Bookkeeping
- M&A
- Consulting & Structuring
Dynasty Investments provides the research, tools, technology, manager access, and operations and compliance support for an RIA to offer its clients highly professional and scalable investment solutions. Our investment platform provides comprehensive support whether you choose to manage your own portfolio or outsource to our OCIO.
- Investment Research & Consulting
- Research Center & Analytical Tools
- Dynasty TAMP
- Capital Markets & Investment Banking
Dynasty Marketing fully prepares an RIA to strategically manage its brand for communication with clients, partners, prospects, its community and the media. This includes a robust strategy for managing your branding, PR, client experience and digital presence -- all aligned with your business goals and overall marketing objectives.
- Brand & Marketing Strategy
- Public Relations
- Client Experience
- Digital Marketing
Dynasty Compliance will provide the legal and compliance support for an RIA – from the set-up of a new RIA to the training of a designated CCO. We’ll give you the compliance guidance and ongoing support to enable you to successfully operate in conformance with regulatory requirements.
- Legal Structure & Governance
- RIA Registration & Licensing
- Compliance Services
- Network Compliance Support
Dynasty Practice Management shares the responsibility of managing an RIA across all aspects of the business. Our senior Relationship Management teams leverage their combined expertise to co-design and execute on your annual business plan, while carefully selecting appropriate resources to help you achieve optimal results and growth.
- Dedicated Relationship Manager
- Business Design & Consulting
- Implementation & Transition Services
- Business Operations
First-Year Timing
While every situation is unique, experience has taught us how to apply best practices against a calendar to formulate a disciplined plan for launching an RIA on our platform. Here’s a typical breakdown of activities by quarter for the first year of engagement with Dynasty.
1st
quarter
Practice Management
- Staff Reviews & Professional Development Plans
- Client Value Prop
Marketing
- Strategy & Budgeting
Finance
- Partner K1s
Compliance
- ADV & Brochures Updates
- Review BD Licenses
2nd
quarter
Compliance
- Annual Meeting
- Review Operating Agreement
Investments & Operations
- Annual Assessment
Practice Management
- Review Business Insurance
- Team Offsite
3rd
quarter
Technology
- Tech Assessment
- Vendor Diligence
Practice Management
- Annual Benefit Selection & Review
- Update Account Custody Pricing
4th
quarter
Practice Management
- Annual Planning & Next Year's Priorities
- Staff Needs & Comp Plan
Finance
- Annual Budget & Forecasting
- Review Economic Model
Community
- Partners Summit
Capital
Strategies
Dynasty offers two ways to help RIAs in our Network access capital to help expand, scale, and grow their businesses.
Dynasty's vision is to power some of the largest RIA firms in the ongoing client and advisor migration to the independent advisory model. We are confident our Dynasty Capital Strategies initiatives will further fuel our clients in their various growth initiatives. We feel these flexible capital options are unique relative to what is in market today, and when combined with our broader platform give Dynasty-powered RIAs a competitive edge on building and scaling their businesses.
— Amit Grover, Director of Capital Strategies
Permanent
Capital
Capital
Credit
Capital
Capital
We offer flexible financing structures to fund RIA startup expenses, ongoing working capital, acquisitions, succession planning, and for other strategic, tax advantage and tactical reasons.
Permanent Capital
Credit Capital
Over time, advisors looking for diversification will be interested in generating liquidity from the ownership of their RIAs in order to fund lifestyle needs, acquisitions, succession planning, among other compelling reasons. We offer the Dynasty Revenue Participation Note (RPN) to provide liquidity without limiting management control. This financing option keeps a significant economic incentive in place for the RIA’s principals, while providing the flexibility to buy back the revenue interest at a fixed rate.
We offer flexible financing structures to fund RIA startup expenses, ongoing working capital, acquisitions, succession planning, and for other strategic, tax advantage and tactical reasons.
M&A Growth
Strategic acquisition can be a critical component of sustaining and growing an RIA. Reasons to merge or acquire may include the aging of a principal, the costs of complying with regulations, or the need to stay current with tech advancement and to adjust to clients’ digital behavior. There’s also great demand for recruiting wealth management against a narrowing supply of advisory talent.
Based on the size and scale of an RIA, as well as its needs and objectives, Dynasty’s dedicated M&A team undertakes a five-step process to help activate one of three solutions for firms looking to grow through a non-organic transaction.
The three solutions include: Strategic Partnerships, Joint Ventures, and Platform Solutions. Current Dynasty Network firms have taken advantage of each of these solutions with clear success. The five-step process includes:
Network |Firm Evaluation
Business Valuation & |Capitalization Strategies
Disciplined Prospecting & |Recruiting Strategy
Firm Due Diligence |& Engagement
Transition & |Integration
Ben Bines, Senior Vice President of Network Development, Eastern Division
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Dynasty Financial Partners LLC
1350 Avenue of the Americas,
32nd Floor
New York, NY 10019
(212) 373 1000
© 2018 DYNASTY FINANCIAL PARTNERS. ALL RIGHTS RESERVED.