Referral Program

Over the years, you have probably referred clients to a stockbroker to implement part of your suggested planning, in the hope that you would receive referrals in return. Even if that has happened, however, it usually ends up being low-profit 1040s or basic “I love you” wills.

The Commonwealth Alliance Program (CAP) is a unique way for you to share in the revenue generated from the fee-based investment management clients you refer to us. Upon entering into a Referral Fee Agreement, and after meeting certain background checks (there are no securities registrations required in PA), you can directly share in the fee-based revenue generated from your referral. Note that this referral relationship obviously must be fully disclosed to your client in advance.

Potential clients should have a minimum of $250,000 of investable assets and the desire to work with an advisor on an assets-under-management fee basis. Commissions cannot be shared with unregistered individuals.

If you think it might be time to change whom you refer your best clients to, or if you are not comfortable with the stockbrokers and financial consultants they are currently dealing with, maybe we should meet and discuss how our CAP Referral Program can help you help your clients.