facebook twitter instagram linkedin google youtube vimeo tumblr yelp rss email podcast phone blog search brokercheck brokercheck Play Pause

BUSINESS MANAGEMENT SOLUTIONS

Business Management Solutions

The most successful financial advisors are not just good wealth managers, they are solid business managers. Leverage Kingswood and our partnership to build and maintain a quality business at a fraction of the cost of doing it alone.


Experienced Practice Management

Gain direct access to a senior management team and practice management group with 50+ years of experience specifically in the independent advisor industry and high familiarity with industry trends, the technology and service landscape, and how it all fits together.

Our team is dedicated to delivering the same level of personalized service experience you bring to your client relationships. Importantly, we start by listening! We take the time to understand what makes you unique. Then, we offer strategic and tactical recommendations to help you personalize and define your brand. We collaborate on promoting your business in a way that works for you.

Most importantly, we help you grow your business – organically, through incorporating other advisors into your business, and through helping you acquire other businesses.


Effective Business Enablement Services

Become The Most Desired Place to Work! Attract and retain talented employees and high-performing advisors by leveraging Kingswood and our strategic partners to access benefits typically only found at the largest companies.

  • Health Insurance: Provide access to comprehensive medical, dental, and vision benefits while substantially reducing your costs of providing these benefits.
  • Office Supplies: Let Kingswood help you equip your business and your office with everything you need at discounted prices.
  • Free Payroll Processing
  • Free 401(k) Services
  • Access to highly-discounted lifestyle services and perks for your employees (hotels, entertainment, theater, and more)
  • Outsourced CFO: Kingswood can provide you with discounted access to leading bookkeeping and accounting services. We will help you lower your financial and accounting costs through outsourcing services designed specifically for small to mid-sized businesses. Our partnership solution is designed to assist with preparation for SEC Audits, transitions to independence from traditional wirehouse firms, M&A transactions, and strategic planning for the purpose of scaling operations.

“Business-forward” Compliance Support

Kingswood embraces your business goals while providing you with the important protection that you and your business need.

Kingswood prides itself in keeping current and highly knowledgeable about industry compliance, while remaining flexible to each advisor’s needs. The compliance team is comprised of highly experienced professionals who closely monitor regulations and emerging trends.


When you partner with Kingswood, you'll enjoy:

  • One team for both your advisory and brokerage compliance needs
  • Prompt assistance with your day-to-day inquiries
  • A common-sense approach to interpreting securities regulations and applying them in your practice
  • A true partnership with professionals who understand your marketing and social media objectives
  • Effective, dependable audits of your branch office

Powerful M&A assistance

Whether you are looking to buy or sell your business, Kingswood will assist you with:


person logo

Sourcing a Buyer or Seller

With a tremendous network in the wealth management industry, Kingswood leadership can help you cut through the time and nonsense involved with finding the right partner.

computer logo

Assembling the Deal Structure

Kingswood deploys the expertise to your firm to help you determine the most appropriate deal structures.

wallet logo

Deal Financing

Kingswood brings our balance sheet and our access to leading lending institutions to help design the debt structure most appropriate for your business.