Setting the Standard

If you’re ready for a partner with the experience, resources and drive to promote your firm in an ever-changing world, then SagePoint Financial is ready to welcome you. We offer a fresh take on the broker-dealer experience and it is why for over 45 years motivated advisors like you have elected to make us their home.

Raising the Bar

It starts with the fact that we’ve raised the bar when it comes to what you can expect from your independent broker-dealer. Our approach has been to transform the way we lead into the way we listen. We see our clients as collaborators. And we bring the weight of a rich heritage as a company into strategies that work both for today and tomorrow.

Whether it’s by providing service that anticipates your needs, offering adaptable solutions that easily conform to your practice, or delivering evolving technologies that enable you to become a leader, as your world changes so do we.

Your Voice Matters

When you choose to affiliate with SagePoint, you’ll enjoy the best of both worlds: big-firm resources with a small-firm feel. That’s because while we are part of one of the largest independent broker-dealer networks in the industry, we’re also driven to be the most flexible, the most nimble, and the most collaborative broker-dealer for your business. And that demands ensuring that your ideas and opinions are always heard and, in turn, influence our course of action.

To us, listening effectively means giving you direct access to senior management and assigning a regional executive dedicated specifically to you and your needs. It means maintaining advisor-lead committees to represent you and provide early input on important issues. And it means a responsive, knowledgeable home-office team that makes you their top priority.

But the bottom line is that in everything we do, and with every step we take, we put the advisor first. We put you first. And we invite you to join our team.

Our Strengths

We understand that all broker-dealers share some things in common. But the features and perspectives that separate them can be critical. For SagePoint, it’s a belief in partnership and a true open-door policy combined with advanced technology and service that sets us apart.

Collaborative Approach We’ve transformed the way we lead…into the way we listen. Our approach with advisors is to see them as collaborators and we are constantly evolving so that as their world changes, so does ours.

Compensation Analysis To help you make the most informed decision on whether a move to SagePoint is right for you, we’ll provide you with a commission schedule and comparative analysis specific to your numbers without any obligation.

Affiliation Options We offer a wide range of affiliation options to ensure that you are reaching your goals according to your own plan. Choose from our Independent, Branch, Employee, and Registered Investment Advisor models. Our goal is to come alongside you and empower what you know works best, not squeeze you into an uncomfortable model.

Clearing Choices SagePoint offers two of the industry’s most powerful clearing firms so that you can move accounts in the direction that is easiest and most effective for you. Choose between Pershing and National Financial Services. This means minimal disruption for your staff and a seamless move for clients.

Business Development Plot the roadmap of your future by developing a customized business plan with our dedicated team and then take advantage of premier coaching that is designed to help you double your business. As a firm we are committed to your growth.

Fee-Based Solutions While SagePoint supports all business models, we can help open new opportunities through our comprehensive Investment Advisory Services. These fee-based management solutions are robust and readily available.

Common-Sense Compliance Our commitment extends beyond routine supervisory duties and branch exams to include a full suite of resources that enables you to rely on our expert team for much of your compliance and regulatory needs.

Succession Planning Working with our expert succession and continuity planning consultants, you can create a plan that will ensure that you are able to protect and benefit from the business into which you invested so many years of your life.

Service & Support

As a broker-dealer that adapts to your needs, SagePoint empowers advisors to reach new levels of success through a true partnership of mutual strength and respect and we do that in very practical ways that impact your everyday operations.

It starts with offering total support through live and experienced telephone customer service featuring extended hours. You can operate with the confidence that we will respond quickly and appropriately to your needs. When we don’t have the answers at our fingertips, we will immediately mobilize as a team to find what you are looking for.

Resources Designed for Today

We invite you to carefully examine the many features and benefits of affiliating with SagePoint Financial. Among other more specific resources, you can expect:

  • A liberating open architecture approach that maximizes your flexibility and supports the way you want to do business
  • Coaching programs designed for immediate impact which give you the tools you need to significantly grow your business
  • Training for your entire team on our advanced technology solutions that simplify the “business side” and strengthen the “client side”
  • A commitment to “paperless offices” that streamline work flow
  • Specialized business conferences to advance your knowledge and create supportive networks among advisors
  • Customizable, client-approved advertising and marketing materials
  • A relevant and robust library of financial services content that is updated daily
  • Case-specific consultation to locate and present optimal investments for any client and any situation
  • An Online Registration Center to help on-board new advisors easily and efficiently to your office
  • Leveraged buying power on software and services with pre-arranged discounts
  • A focus on “your voice” through advisor-led committees that offer early input on important issues
  • ConnectED: perhaps the industry’s most impressive national educational conference, held annually with an invitation to all of our affiliated advisors.
  • Our Office Automation Suite allows you and your staff to effortlessly streamline your daily functions to become more efficient and profitable
  • Unique expertise in insurance and retirement planning services to help grow your practice and get an edge on the competition
  • With one of the most extensive product listings in the industry, you have access to what your clients need

Transition Support

When you’ve reviewed all of the facts and made the decision to join SagePoint Financial, we will do everything possible to ensure a seamless transition. Throughout the years, we’ve helped thousands of advisors like you successfully make this all-important change and, although it requires careful attention, it is easily accomplished.

To begin with, you’ll have the services of a team of transition professionals, including a dedicated transition liaison. These experts will work closely with you to thoroughly plan your transition process according to your unique requirements and needs and then will guide you through it every step of the way.

Four Easy Steps

Through our exclusive approach to onboarding, the experience is neither daunting nor time-consuming. In just four steps, you can easily transition your practice into SagePoint. In short, the process is as easy as this:

Step 1: Talk After some introductory conversations, we will start gathering information to make for a smooth transition. Our team will get to know your business and, through our online pre-registration forms, will determine how best to supervise and transition your business.

Step 2: Track Together we will create a customized game plan for your transition, give you a link for forms and registration, and provide you with dedicated assistance.

Step 3: Transition Our transition team will help move your book of business while providing training on key website tools and systems. Based on your GDC level, a liaison will also simultaneously submit your advertising pieces for initial review and input.

Step 4: Takeoff! In the final stage, our transition team reviews any outstanding issues and accounts not yet transferred. You will then be introduced to our service group that will be available for ongoing support and assistance.

Individual Office Support

SagePoint has even simplified the process for OSJ pre-hire review and affiliation by allowing you to complete the majority of your paperwork online, saving you time, and sparing you frustration. Through our Online Registration Center, incoming advisors create a personalized profile and complete the necessary forms on their own schedule because it’s designed to save progress and return at any time. Instant feedback is available throughout the process to ensure that you have our full support.

Feel Free to Express Yourself

Making a move is a big change. By providing us with a little information about you and your background, we can propose solutions customized for your situation. Please complete and submit the form below and we will be in touch very soon.

Additional information to help us better assist you: