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The power of

supported independence

Across our six locations nationwide, our team of more than 50 industry veterans help launch new firms through their dedication to service, innovation and building strategic business relationships.

Shirl Penney, President and CEO
Member of the Dynasty Leadership Team

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The power of

partnership

Join our Network of nearly 50 independent firms and we’ll connect you to promote community, collaboration and success.

Dynasty Women's Network

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The power of

objectivity

We deliver the tools, resources and infrastructure to support your fiduciary responsibilities in a conflict-free environment.

Marcus S Wilson, Senior Vice President, Platform Operations
Member of the Dynasty Client Service Team

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Dynasty is

Supported IndependenceSM.Dynasty is a leading provider of wealth management and technology platforms for independent financial advisory firms. We create access to valuable resources and industry-leading capabilities through an open architecture platform, enabling our advisors to have the freedom to address their clients’ needs in an objective manner.

We power our advisors through our Dynasty: Advisor to CEO platform providing supported independence to launch their business, gain efficiency, scale their operations, and grow their firm – so they can be more focused on the specialized needs of their clients.

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"As a strategic partner, Dynasty provides the human and intellectual capital we need to Plan, Protect & Win for our clients. Dynasty’s mission and capabilities fully align with our OFS value proposition: Be Expert and Be Indispensable."

— Frank Zecca, CFP and Managing Director, OFS

Comprehensive
Transition Process

Dynasty’s experienced and dedicated Transition Team works directly with you to ensure the timely and successful launch of your new firm. Our detailed, hands-on process guides advisors in all steps involved in transitioning their business. As a result, we see average client movement of the majority of their business within the first 45 days.

With our resources and expertise behind you, we can make your road to independence a successful one.

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Our transition process includes:

Full-time transition lead

  • Single point of contact across all components of your transition
  • Identifies and develops relationships with key Dynasty preferred resource partners
  • Manages all strategic partner relationships
  • Leads weekly status calls
  • Introduce and Consultant on all Resource Partners

Business Formation & Firm Structure

  • Determine Ownership Structure
  • Consults legal entity (LLC, Corporation)
  • Assists in drafting Operating Agreement
  • Develop Investment Advisory Agreement
  • Determine Business Insurance Needs

P&L Analysis and Projections

  • Preliminary financial overview with Dynasty Finance Team
  • Discuss accounting needs with CPA partner
  • Implement expense management technology and link to accounting platform for efficient expense tracking
  • Analyze key financial metrics and design long-term plan with specific growth oriented goals

Legal and Compliance Set-up

  • Strategize regarding corporate structure
  • Initiate firm & representative registrations (Form ADV & Form U4)
  • Draft required compliance policies & procedures
  • Educate firm CCO via ‘CCO Crash Course’

HR Benefits

  • Introduction to Health care provider
  • Payroll
  • Introduce 401K options

Dynasty Advisor Platform

  • Implementation of Dynasty Desktop Platform
  • Robust client performance reporting platform
  • Financial planning software platform and solutions
  • Transition and implementation of custom Dynasty CRM
  • Technology infrastructure and office IT buildout consulting

Custodian Transition and Complete Asset Mapping

  • Custodian review and selection
  • All client holdings and money movement needs
  • 3rd party money managers
  • Structured products
  • Credit/lending products
  • Insurance

Real Estate Search & Office 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

Brand Development & Marketing Strategy

  • Introduction to Dynasty Marketing Resources
  • Brand DNA + Core Messaging
  • Digital/ Social Marketing and SEO
  • Stationary Design
  • Website development and Data Platform

PR & External Communications

  • Develop Public Relations Strategy
  • Dedicated Public Relations Expert
  • Track record of generating positive local, trade and national media coverage
  • Preparation for Media Interviews

Departure & Client Communication Strategy

  • Consult on protocol or non-protocol communication options
  • Draft client letter/communication
  • Assist with digital outreach

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
Full-time
transition lead
  • Single point of contact across all components of your transition
  • Identifies and develops relationships with key Dynasty preferred resource partners
  • Manages all strategic partner relationships
  • Leads weekly status calls
  • Introduce and Consultant on all Resource Partners
Business Formation
and firm structure
  • Determine Ownership Structure
  • Consults legal entity (LLC, Corporation)
  • Assists in drafting Operating Agreement
  • Develop Investment Advisory Agreement
  • Determine Business Insurance Needs
p&l analysis
and projection
  • Preliminary financial overview with Dynasty Finance Team
  • Discuss accounting needs with CPA partner
  • Implement expense management technology and link to accounting platform for efficient expense tracking
  • Analyze key financial metrics and design long-term plan with specific growth oriented goals
legal and
compliance setup
  • Strategize regarding corporate structure
  • Initiate firm & representative registrations (Form ADV & Form U4)
  • Draft required compliance policies & procedures
  • Educate firm CCO via ‘CCO Crash Course’
HR Benefits
  • Introduction to Health care provider
  • Payroll
  • Introduce 401K options
Dynasty Advisor Platform
  • Implementation of Dynasty Desktop Platform
  • Robust client performance reporting platform
  • Financial planning software platform and solutions
  • Transition and implementation of custom Dynasty CRM
  • Technology infrastructure and office IT buildout consulting
Custodian Transition
and Complete Asset
Mapping
  • Custodian review and selection
  • All client holdings and money movement needs
  • 3rd party money managers
  • Structured products
  • Credit/lending products
  • Insurance
Real Estate Search
and Office 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
Brand Development
and Marketing Strategy
  • Introduction to Dynasty Marketing Resources
  • Brand DNA + Core Messaging
  • Digital/ Social Marketing and SEO
  • Stationary Design
  • Website development and Data Platform
Public Relations and
External Communications
  • Develop Public Relations Strategy
  • Dedicated Public Relations Expert
  • Track record of generating positive local, trade and national media coverage
  • Preparation for Media Interviews
Departure and Client
Communication Strategy
  • Consult on protocol or non-protocol communication options
  • Draft client letter/communication
  • Assist with digital outreach
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

Dynasty:
Advisor to CEO

Our Dynasty: Advisor to CEO platform redefines what is possible in wealth management by helping advisors achieve full independence and deliver a distinctive end-client experience. Our platform offers a sophisticated and comprehensive array of services that support each firm on our Network platform.

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Dynasty Community

The Dynasty Community reaffirms likeminded independent advisors and their teams that they are independent, but not alone...

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Dynasty Technology

The Dynasty Technology platform provides a comprehensive set of integrated tools and capabilities...

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Dynasty Finance

Dynasty Finance and Outsourced CFO empowers an RIA to effectively manage its financial risks with complete confidence in the reporting...

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Dynasty Investments and Operations

Dynasty Investments and Operations provide the research, tools, technology, manager access, and operations and compliance support for an RIA to offer...

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Dynasty Marketing

Dynasty Marketing fully prepares an RIA to strategically manage their brand for communication with clients, partners, prospects, their community and the media...

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Dynasty 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...

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Dynasty Practice Management

Dynasty Practice Management shares the responsibility of managing an RIA across all aspects of the business...

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The Dynasty
Team

Every success we enjoy and share with our Network is attributable to the caliber and quality of the people on our team. Dynasty was founded by industry veterans who understood the role personal connectivity plays in the financial advisory field.

Entrepreneurial in spirit and truly caring at heart, the Dynasty team reflects the values of the advisors in our Network.

View Team

About Dynasty

Dynasty is

  • True advisor independence
  • Fiduciary responsibility & client advocacy
  • Customized, institutional-quality platform
  • Open architecture supporting multiple tech solutions
  • Access to leading investment products
  • Extraordinary service & expert advice
  • Buying power of a substantial network
  • Partnership among the industry’s top advisors
number of dynasty network firms
46
number of dynasty network advisors
160+
dynasty network assets under management
$40B+
number of dynasty corporate locations
6
Visit About Us

Concentus Wealth Advisors partners with Dynasty and Schwab Advisor Services

video

Dynasty Financial Partners is pleased to announce that Concentus Wealth Advisors is featured in new educational videos about independent financial advisors created by Schwab Advisor Services.

The Dynasty Network

With nearly 50 firms in our Network, we represent more than 160 financial advisors – men and women who thrive in a model that emphasizes independence, business ownership and the flexibility to truly serve their clients’ every need.

View Network Map

News

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November 12, 2020

O-HI-O: Buckeye State Wealth Management Firm Growing Fast as $1.8 Billion Ohio Advisory Team Joins Venture Visionary Partners

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November 12, 2020

Ex-UBS Star Lures More Former Teammates to $3.7 Billion RIA

Five UBS Wealth Management advisors in Ohio left on Wednesday to join a $3.7 billon-asset [...]

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UBS Team Managing $1.8 Billion Jumps to Venture Visionary Partners

A UBS advisory team that managed $1.8 billion at the wirehouse has joined Venture Visionary [...]

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