Licensed Financial Advisor

Portable Book of Business: $25M+ AUM

Locations: San Francisco, CA | New York, NY | Chicago, IL | Houston, TX

Confidential Search Conducted by Spalding Hall Enterprises, LLC

Are you an established Financial Advisor with a portable book of business who is looking for a stronger platform to accelerate growth?

We are conducting a confidential search on behalf of a premier global investment banking and wealth management firm seeking experienced Financial Advisors with approximately $25M-$50M in transferable assets under management (AUM).

This opportunity is ideal for advisors who want access to institutional-caliber resources, sophisticated wealth planning capabilities, robust operational support, and a compensation structure designed to reward long-term growth.

Whether you're looking to transition your existing practice or build alongside a senior advisor, this firm offers multiple pathways for experienced professionals committed to delivering exceptional client outcomes.

Two Career Opportunities

Advisor Development Partner

Join an established senior advisor and accelerate your career through mentorship, advanced planning experience, and direct exposure to high-net-worth and ultra-high-net-worth client relationships.

Compensation

• Base Salary: $75,000-$90,000
• Performance-based incentive compensation
• Total earnings potential exceeding $250,000+ annually

What You'll Receive

• Mentorship from a highly successful senior advisor
• Access to affluent client relationships
• Advanced estate, tax, retirement, and investment planning experience
• Structured career development
• Institutional resources and proprietary planning technology

Independent Financial Advisor

Designed for experienced advisors seeking greater autonomy while leveraging the resources of a premier wealth management platform.

Compensation

• 80%-85% payout structure
• Earnings potential of $325,000-$450,000+ annually, based on production

Platform Support

• Dedicated client service team
• Marketing and business development resources
• Practice management coaching
• Advanced technology platform
• Compliance and operational support
• Errors & Omissions (E&O) insurance
• Travel reimbursement
• Comprehensive back-office infrastructure

Why Advisors Make the Move

Successful advisors choose this platform because it allows them to focus on serving clients while reducing administrative burdens.

Highlights include:

• Premier global wealth management platform
• Collaborative, advisor-first culture
• Sophisticated investment and financial planning resources
• Competitive compensation and incentive programs
• Comprehensive medical, dental, vision, life, and disability benefits
• Retirement savings programs
• Succession planning and transition support
• Ongoing professional development and leadership opportunities

Qualifications

Required Experience

• 3+ years of Financial Advisor experience
• Experience serving high-net-worth clients
• Portable book of business with approximately $25M-$50M in AUM
• Proven history of business development and client retention

Required Licenses

• FINRA Series 7
• Series 63 or Series 66
• Series 65 or Series 66 (as applicable)
• Active Life Insurance License
• Active Health Insurance License
• Active Variable Products License

Additional Qualifications

• Bachelor's degree or equivalent professional experience
• Legally authorized to work in the United States without sponsorship
• Strong relationship management and communication skills
• Entrepreneurial mindset with a commitment to building a long-term advisory practice
• Demonstrated professionalism, integrity, and client-first approach

The Ideal Candidate

You are an accomplished advisor who has built meaningful client relationships and is ready to leverage a stronger platform without sacrificing your independence.

You're looking for:

• Greater earning potential
• Enhanced client capabilities
• Institutional investment resources
• Operational efficiency
• Long-term practice growth
• A firm committed to helping advisors build enterprise value

Apply Confidentially

If you're interested in exploring this confidential opportunity, we encourage you to apply.

Please submit your:

• Resume
• LinkedIn Profile

Email:
shawnspaldingrecruitment@gmail.com

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