Prospective Advisors

Daniel Da Ponte founded Axis Advisors, LLC after spending the early part of his career at a wire house and then an independent broker/dealer. He believed that his clients deserved more than either model could deliver: they needed a partner that would provide them with unbiased advice, experienced independent investment management and state of the art financial planning software and technology.

At Axis Advisors, we understand that building a financial advisory practice that does right by clients and meets revenue targets isn’t easy. Fortunately, we can support advisors struggling with this dilemma.

What advisor profile would we be the right solution for? Advisors who:

  • Have fee-based assets under management of between $10 million and $50 million
  • Are seeking to focus solely on their clients within a fee-only RIA providing financial planning and wealth management services
  • Want to ensure that clients belong to the advisor
  • Want the ability to monetize their practice and have a succession plan in case of an untimely life event
  • Does not want responsibility of firm compliance and administration

Our independent firm provides:

  • Practice transition support and administration
  • Turnkey advisory platform
  • State-of-the-art financial planning, CRM and portfolio accounting software
  • Institutional custodian and independent investment managers
  • Competitive errors and omissions insurance coverage
  • Comprehensive compliance platform
  • Practice development and marketing support
  • Competitive revenue payouts
  • Qualifying advisor(s) may be eligible for practice transition bridge loan draw and account transfer costs

Change is never easy. The prospect of re-papering client accounts alone is enough to scare many advisors out of making a move. Still, a relationship with an established investment advisor can provide the support advisors need to grow their book of business and focus on their clients, not the day-to-day grind of managing a firm.

If you believe in the fiduciary model like we do, our independent model and turnkey platform could be just the partner you're looking for. Requests for additional information are strictly confidential. For additional information, please provide the following: