Trustee Services for the Independent Broker / Dealer

Financial advisors working with or at an Independent Broker / Dealer need advisor focused corporate trustee services based on simple model. 

Custody, Compliance, Trading, and Fees

Advisors using the power of the Independent Broker / Dealer (IBD) business model need all their clients to exist under one compliance and custody roof. 

Every trade, every marketable security, every fee deduction, and every distribution need to come from one custodian location - that being under the compliance guidelines of the IBD.

Compliance & Custody Made Easy

Compliance within an IBD needs to work without exceptions or carve-outs. 

Using an administrative corporate trustee that does not custody assets means all activities under the legal responsibility of the financial advisor occur under the well-organized umbrella of the IBD compliance and custodian team. 

  • No exceptions during SEC audits.
  • Trust accounts follow IBD procedures.
  • Reduction of special monitoring by compliance team.

Financial Advisors Service Trust Accounts Faster & Simpler

Leverage all the tools offered by the IBD including trust accounts!

No need to use a corporate trustee that is not custodian neutral. No worry about how to house different accounts (e.g., IRA, taxable, and trusts) for overall asset allocation. Simple fee deduction processes using IBD tools. 

  • Use a friendly corporate trustee to increase your AUM. 
  • Avoid getting fired when clients pass away by using a friendly trustee as the successor trustee. 
  • Work with a corporate trustee who champions the advisor relationship with their clients.

What the heck is a friendly corporate trustee?

Only 9% of an advisor's clients will need a corporate trustee. 

When they do (client passes away or prospective client with assets elsewhere), an advisor needs a friendly trustee as fast as a dentist when they have a toothache. 

Click the image below to watch a video explaining the benefits to advisors using a friendly corporate trustee

Advisor Friendly Trust Company-thumb


Trust Review Checklist

We created a quick checklist on the top four items to check when reviewing a trust document.

Your financial planning clients want you to do this. 

How to Avoid Becoming a Commodity

It's tough being a financial advisor today. 

Here are a few ideas in an easy checklist format to avoid becoming or being seen as a commodity by clients and/or prospects.


Directed Trusts


Advisor directs custody choice

Advisor directs investment objective

Advisor directs asset allocation

Advisor directs financial planning

Trustee controls trust administration

Trustee collaborates on distributions

Directed Trust fees

Delegated Trusts


Advisor suggests custody

Advisor suggests investment objective

Advisor suggests asset allocation

Advisor controls financial planning

Trustee controls trust administration

Trustee collaborates on distributions

Delegated Trust fees



Trustee deals with Crummey notices

Trustee coordinates premium payments

Trustee coordinates beneficiary signatures

Advisor chooses life insurance policy

Advisor controls annual policy reviews

Trustee controls trust administration

ILIT fees

Company in Numbers

90 %

Financial advisors who ignore trustee business


Trillions of AUM Managed by Competing Trust Companies


Trillions of AUM for Advisors to Increase their AUM from Competing Trust Companies

Let's Talk How We Can Help You Increase Your AUM or Retain Your AUM with Our Trustee Services

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