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SECTION III - Registered Investment Advisor Opportunities


50 RIA established in 1985.
$415,000.00
RIA established in 1985. 25MM Assets Under Management. $125K year to date revenues. EXCELLENT Track Record, Principal will stay with new owner. GREAT DEAL, Won't Last.
   
49 (5K Net Cap) established in 2006.
$7,000,000.00
(5K Net Cap) established in 2006. Registered in 20 States. Approved for Broker or Dealer retailing corporate equity securities over-the-counter (BDR), Broker or Dealer selling corporate debt securities (BDD), Mutual fund retailer (MFR), U.S. government securities dealer (GSB), Municipal securities broker (MSB), Broker or dealer selling variable life or insurance or annuities (VLA), Broker or dealer selling tax shelters or limited partnerships in primary distributions (TAP), Non-exchange member arranging for transactions in listed securities by exchange member (NEX) and Private Placements (PLA). Product Mix is 5% Stocks, 5% Bonds, 10% MFs, 10% Variable, 10%LPs, 25% Fee Based and 35% DPP. 1000 Client Accounts, 145MM AUM and 90MM in RIA Assets..Principal will stay with New owner.
   
48 RIA, in business for 10 years.
$300,000.00
RIA, in business for 10 years. 25MM AUM, Revenues 150K, Principal will stay with New Owner. RIA, in business for 10 years, 25MM AUM, Revenues 150K. Principal will stay with New Owner.
   
45 RIA established in 2004.
$250,000.00
RIA established in 2004. 50 customer Accounts in one state. $6,500,500.00 Assets under Management. Assets are 100% Fee based.
   
       
Shells Producing RIA/Sales Private