Business Partner Opportunity

The Investment Advisor Business Partner Program is a marketing and referral program. Also known as a Solicitor Program in the securities industry. As a marketing program The Investment Advisor allows its Business Partners to market its services both online on the internet and offline in traditional methods.

Why become a Business Partner of The Investment Advisor:

  • The opportunity to create a stream of revenue by participating in the advisory fees of The Investment Advisor a registered investment advisory firm.
  • The Investment Advisor compensates individuals, firms and organizations who wish to refer business to The Investment Advisor for those referrals.
  • Referrals can be made as the result of a personal or business relationship, or as an online referral as a result of a potential client visiting your web site or hosted location on the internet.
  • Become associated with an Investment Firm Where the Principal of the firm has many years of experience managing Client Portfolios.

The Investment Advisor pays as compensation to its Business Partners 33% of the Fees it collects for as long as the referral remains a Client of The Investment Advisor. You will become an independent contractor of The Investment Advisor.

The Business Partner Program also known as a Solicitor Program is regulated by the Pennsylvania State Securities Commission. To qualify the requirements of this Program are as follows:

  • You must reside in and have your principal place of business in Pennsylvania.
  • You must be registered with and maintain a Series 65 Investment Advisory License as the source of the referral.
  • The sole exception to the licensing requirement would be if you are an attorney, accountant, engineer or school teacher whose involvement in the securities business is incidental to your work or line of business.

You must present to any Client or Potential Client being referred (online or in person) a written disclosure consisting of:

  • Your name as the Business Partner and Solicitor.
  • The name of The Investment Advisor as the firm to whom you are referring the Client.
  • The nature of the relationship between you and The Investment Advisor. Including any affiliation between you as Business Partner and The Investment Advisor.
  • A statement that you will be compensated by The Investment Advisor for the referral.
  • The terms of the compensation arrangement including a description of the fees to be paid to you.
  • The fact that no additional amount will be charged to the investment advisory fee as result of such a Business Partner arrangement.
  • The Investment Advisor’s disclosure brochure.

To conform to the securities regulations of the State of Pennsylvania records must be maintained for which The Investment Advisor has access detailing a signed and dated acknowledgment of receipt of The Investment Advisor’s written disclosure statement and your written disclosure document as the Business Partner (Solicitor) prior to or at the time of entering into any written or oral investment advisory contract with the Client.

Business Partners of The Investment Advisor may only conduct business in the State of Pennsylvania. Business Partners may not solicit Clients outside of The State of Pennsylvania or solicit Clients in Pennsylvania from outside the State of Pennsylvania

Additionally, such securities regulations also require formal written agreement between The Investment Advisor and you as the Business Partner (Solicitor) which describes:

  1. The solicitation activities to be engaged in by you on behalf of The Investment Advisor and the compensation to be received.
  2. Contain an undertaking by you to perform your duties under the agreement in a manner consistent with the instructions of The Investment Advisor and the provisions of the act and the rules thereunder.

The Investment Advisor will not add any additional fees to its regular and customary fees because a Client is referred by a Business Partner. Additionally, The Investment Advisor seeks Business Partners of high ethical and moral character. In compliance with its duty and fiduciary responsibilities The Investment Advisor will perform background checks relating to your past history if you seek to become involved as a Business Partner with The Investment Advisor relating to:

  1. Past violations of securities laws.
  2. Criminal History.
  3. Credit History.
  4. Employment and/or Business Ownership History.
  5. Licensing History for those Business Partners maintaining licensing or industry certifications inside of the securities business.

For those individuals, firms and organizations who desire to become Business Partners of The Investment Advisor, where there is a requirement to be registered as an investment advisor with a Series 65 License to make such referrals as described and who do not hold such a license, The Investment Advisor will in such cases assist you in obtaining this license. As an independent contractor you will function in a limited capacity and receive compensation solely for referrals which engage The Investment Advisor.

If you are interested in exploring The Investment Advisor Business Partner Program further please contact:

Louis Wolkenstein
Managing Principal
The Investment Advisor
P.O. Box 3177
West Pittston, Pennsylvania 18643