A Private Home Office Solution That Works As An Extension Of Your Team.
As a service partner to advisors, Advisory Solutions Group offers a single point of contact for all administrative activities with the vendors or custodians they choose to use.
While advisors continue to supervise and direct those tasks, they are no longer burdened with the actual execution of those activities.
This allows advisors to focus even more on delivering the best possible overall service to their clients.
Advisory Solutions Group’s qualified staff serves as an extension of an advisors’ own team and thus plays a big role in their day-to-day service operations.
Advisory Solutions Group formed as an exclusive service company to work with a select number of successful financial advisors throughout the country who needed our help.
Advisory Solutions Group has leveraged the growing number of our advisor relationships to build a highly experienced support team and integrated technology system, ultimately giving us the ability to effectively handle much of our advisor partners’ daily administrative workload.
Advisory Solutions Group has a proven history of forming long-term, successful partnerships with advisors who are interested in a custom solution which allows them to outsource most all trading, reporting, billing, and technology-related activities to a trusted virtual partner. By outsourcing the majority of their day-to-day operations, advisors are able to increase even further their competitive edge in the local marketplace, while streamlining their firm’s business processes and technology.
Many advisors share a common goal of freeing up their time, energy, and expenses relating to most of their firm’s day-to-day administrative workload.
These advisors can continue growing their successful business with limited staff by outsourcing and forming a partnership with Advisory Solutions Group. This allows them to maintain a clear emphasis on wealth management and financial planning for their valued clients.
Advisory Solutions Group operates from the core belief that an advisor’s time is best spent working directly with his/her clients to help them achieve their important financial planning goals. Advisors who choose to partner with Advisory Solutions Group believe-as do we-that getting bogged down in necessary daily administrative tasks can take them away from their true skill set and purpose as financial advisors.
An advisor’s partnership with Advisory Solutions Group can prove advantageous to both the advisor and his/her clients for the following reasons:
An advisor’s relationship with Advisory Solutions Group aligns them with other advisors who have a significant amount of combined total assets. This creates several benefits for both advisors and their clients.
Because of their affiliation with Advisory Solutions Group, advisors are able to work with a select service team who is dedicated to their relationship, rather than a team that may provide service assistance to 30+ other firms. This means that the typical turnaround time on administrative tasks, such as transfers, can be faster. Also, any resolutions that need to be made will be handled directly by that team. Since issues happen daily, being assisted by a select service team allows advisors to find solutions for their clients faster and more efficiently than they may have been able to in the past.
Through Advisory Solutions Group, advisors have direct access to a veteran team of service specialists, economists, and Advisory Solutions Group’s dedicated to investment research. Putting together a team with this level of expertise can be difficult to replicate at an individual advisory firm level. By partnering with Advisor Solutions, advisors are plugged into a team of over 25 people to assist their clients. An added benefit is that any employee turnover within the Advisor Solutions team will be minimally disruptive to advisors and their clients.
By engaging Advisory Solutions Group as a service partner, advisors have also become part of a large independent advisor network which is available to help in times of crisis and/or serve as a resource. Should something unexpected happen, Advisory Solutions Group has relationships with many other experienced advisors who would be available to provide assistance until an unanticipated situation was resolved.
An advisor’s relationship with Advisory Solutions Group can provide him/her with better control their cost of doing business. By establishing a consistent cost for many of their business expenditures, advisors may now have greater control over these operating expenses so that both they, and their clients, are not as impacted by any inconsistent or increasing business costs.
An advisor’s relationship with Advisory Solutions Group aligns them with other advisors who have a significant amount of combined total assets. This creates several benefits for both advisors and their clients.
Because of their affiliation with Advisory Solutions Group, advisors are able to work with a select service team who is dedicated to their relationship, rather than a team that may provide service assistance to 30+ other firms.
This means that the typical turnaround time on administrative tasks, such as transfers, can be faster. Also, any resolutions that need to be made will be handled directly by that team.
Since issues happen daily, being assisted by a select service team allows advisors to find solutions for their clients faster and more efficiently than they may have been able to in the past.
Through Advisory Solutions Group, advisors have direct access to a veteran team of service specialists, economists, and Advisory Solutions Group’s dedicated to investment research.
Putting together a team with this level of expertise can be difficult to replicate at an individual advisory firm level. By partnering with Advisor Solutions, advisors are plugged into a team of over 25 people to assist their clients. An added benefit is that any employee turnover within the Advisor Solutions team will be minimally disruptive to advisors and their clients.
By engaging Advisory Solutions Group as a service partner, advisors have also become part of a large independent advisor network which is available to help in times of crisis and/or serve as a resource. Should something unexpected happen,
Advisory Solutions Group has relationships with many other experienced advisors who would be available to provide assistance until an unanticipated situation was resolved.
An advisor’s relationship with Advisory Solutions Group can provide him/her with better control their cost of doing business. By establishing a consistent cost for many of their business expenditures, advisors may now have greater control over these operating expenses so that both they, and their clients, are not as impacted by any inconsistent or increasing business costs.
Advisory Solutions Group can help advisors ensure that their firm is as streamlined and efficient as possible, taking minutiae like trade execution, technology upkeep, billing, and reporting away from their workload, while ensuring no single employee or principal is solely responsible for or tasked with any one specific area of activity.
By outsourcing these daily activities to an established firm like Advisory Solutions Group, advisors are able to free up more of their valuable time to focus on client-facing, planning, and/or marketing-related tasks, while making sure that all operational workflows are documented and handled by Advisory Solutions Group’s experienced team. Advisors also have access to the integrated technology and infrastructure Advisory Solutions Group offers, customized to meet the needs of their firm and clients.
Advisory Solutions Group does not have discretion (the right to do things without notice from an advisor) on a client’s account. Advisory Solutions Group cannot make trades, move money, or make changes to a client’s account without an advisor’s direction.
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Policy
As a Registered Investment Adviser, Advisory Solutions Group, LLC. (“ADVISORY SOLUTIONS GROUP, LLC” or “ASG”) must comply with the rules under Regulation S-P, or other applicable regulations, which require Registered Investment Advisers and other SEC regulated entities to adopt policies and procedures to protect the “non-public personal information” of clients who are natural persons and to disclose to such persons the Firm’s policies and procedures for protecting that information. Further, the Firm must comply with SEC Regulation S-AM, to the extent that the firm has affiliated entities with which it may share and use consumer information received from affiliates. ADVISORY SOLUTIONS GROUP, LLC must also comply with the California Financial Information Privacy Act (SB1) when it does business with California clients.
Regulation SP
The purpose of the Regulation S-P requirements and these privacy policies and procedures is to provide administrative, technical and physical safeguards which will assist ADVISORY SOLUTIONS GROUP, LLC employees in maintaining the confidentiality of non-public personal information (“NPI”) collected from the clients(consumers and customers) of an investment adviser. All NPI, whether relating to an adviser’s current or former clients, is subject to these privacy policies and procedures. Any doubts about the confidentiality or treatment of client NPI must be resolved in favor of confidentiality.
Non-Personal Information
For Reg S-P purposes, NPI includes non-public “personally identifiable financial information” plus any list, description or grouping of clients that is derived from non-public personally identifiable financial information. Such information may include personal financial and account information, information relating to services performed for or transactions entered into on behalf of clients, advice provided by ADVISORY SOLUTIONS GROUP, LLC to clients, and data or analyses derived from such NPI.
SEC Regulation S-AM requires SEC investment advisers and other SEC regulated entities, to the extent relevant, to implement limitations on the Firm’s use of certain consumer information received from an affiliated entity to solicit that consumer for marketing purposes. Regulation S-AM also provides for notice and opt-out procedures, among other things.
The Chief Compliance Officer (the “CCO”) is responsible for reviewing, maintaining and enforcing these policies and procedures to assure, at a minimum compliance with applicable federal and state laws and regulations. To this end, the CCO is responsible for distributing these policies and procedures to all employees and conducting appropriate training. As appropriate, the CCO may also recommend to the Firm’s principals that disciplinary or other action be taken against any employee who violates or disregards these policies and procedures.
ADVISORY SOLUTIONS GROUP, LLC has adopted various procedures to implement the Firm’s policy and conducts reviews to implement, monitor, and update these policies and procedures, as appropriate. These include the following:
Safeguarding standards encompass all aspects of ADVISORY SOLUTIONS GROUP, LLC that affect security. This includes not just computer security standards but also such areas as physical security and personnel procedures. Examples of important safeguarding standards that ADVISORY SOLUTIONS GROUP, LLC has adopted include the following:
Any employee who is authorized to possess “consumer report information” for a business purpose is required to take reasonable measures to protect against unauthorized access to the information.
The Firm has determined that when NPI or other confidential client information is to be disposed of, a professional document destruction company will be utilized. Physical documents will be securely shredded, and electronic information will be destroyed using whatever methods are currently industry standard.
Communication Terms of Service. We may send SMS (text message) communications if you provide your mobile phone number and explicit consent. When you opt into our SMS communications, you agree to receive text messages from us regarding marketing, information, appointment confirmations and reminders, and service communications. Messaging frequency may vary, and message and data rates may apply. By opting in, you acknowledge and agree to these terms. You may opt out by replying STOP to an SMS message. For help reply HELP.
We collect personal information required to facilitate SMS communications, such as phone numbers, names (if provided), message content, and metadata (e.g., timestamps of messages sent and received). This information is collected through direct user input, such as web forms or verbal agreements.
The information we collect is used to provide SMS services, including appointment confirmations, service updates, and customer support.
We may share SMS-related information with third-party service providers to manage and deliver SMS communications. Your phone number and consent for SMS messages will not be shared with any third parties for their own marketing purposes. We may disclose information if required by law or to protect our legal rights.
SMS-related data is retained pursuant to our data retention policies or as required by applicable law.