First Allied Securities

As an advisor, you know that no single investment solution can possibly meet the wide range of your clients’ financial needs and objectives. Yet the vast majority of broker/dealers restrict you to a very limited set of options. We do things differently here. Within our open architecture investment platform, First Allied offers a comprehensive set of fee-based investment solutions to help you customize a program for each of your clients.

The importance of having diverse investment choices goes well beyond helping you meet your clients’ unique needs. It also makes it possible to easily diversify your investment management risk across more than one asset management provider. And it keeps you on the cutting-edge of new product innovations and solutions that may help you differentiate your practice from your competitors.

We operate without preference to products and our advisors appreciate the flexibility of our asset management platforms. Our programs allow advisors to manage assets themselves, use third-party money managers or use unique programs designed by our sister company, Advanced Equities Asset Management, that provide professional money management at competitive administration fees.

Our advisory services team offers expertise and support for our advisors with fee-based practices. In addition, our team can assist you in transitioning your transactional-based practice into a fee-based one.

• Prime Asset Management

  

  First Allied’s fee-based platform, Prime Asset Management (PAM) is an advisory account through which an Investment Advisor Representative (IAR) under First Allied’s Registered Investment Advisor (RIA) can manage client assets for an annual fee based on the market value of the account. PAM provides access to more than 3,000 mutual funds, stocks, bonds, and alternative investments for as little as $25,000 (initial investment). PAM is available through Pershing, LLC, and Bear, Stearns Securities Corp.

  PAM offers full discretion for mutual fund transactions, which gives you the ability to rebalance and reallocate accounts without having to call the investor. As the IAR, you will choose who will pick up the cost of transaction charges—you, the client or a combination of both.

• Prime Asset Management II

  Our fee-based full-wrap platform is an advisory account in which an IAR under our RIA can manage client assets for an annual fee based on the market value of the account. PAM II provides access to more than 3,000 mutual funds, stocks, bonds, and alternative investments for as little as $50,000 (initial investment). PAM II is available through both of our clearing firms.

  PAM II offers full discretion for mutual fund transactions, which gives you the ability to rebalance and reallocate accounts without having to call the investor.

• Managed Account Command

  Managed Account Command (MAC) is a non-discretionary managed account program. MAC is designed to strategically allocate investors’ assets across a wide range of investments, using separately managed accounts, through a comprehensive investment process and for one asset-based fee. MAC is a turn-key asset management program, which offers state-of-the-art infrastructure and technology to you and your clients.

  MAC gives you access to an approved list of about 50 separate account managers and more than 25 styles. It allows you to offer separate account management on a fee basis to your clients with as little as $100,000 in investable assets.

• Third-Party Money Managers

  We maintain relationships with several third-party advisory firms offering various investment management styles, including strategic and tactical asset allocation and passive investing, as well as institutional money manager relationships. Some of these relationships include Assetmark, Lockwood, and Nationwide, among others.

• Consulting Fees

  Our advisors add value to their relationships with existing clients who require specialized services. This program offers a way for you to receive compensation for the experience and wisdom you bring to topics beyond the scope of traditional portfolio management.

  Consulting for a fee offers IARs of First Allied the ability to charge for specific consulting services. Those services include analysis of accounts held outside of the broker/dealer with written recommendations on allocations or securities selection, rendering an opinion on specific securities, planning for heirs upon death of client, introductory or initial consultation services, and others. The client will retain the IAR to provide investment advice outlined in the documentation and then First Allied will facilitate the processing of the fee to the IAR.

• Mutual funds and variable annuities are offered by prospectus only. You should carefully consider the risks, charges and expenses of mutual funds or variablue annuities prior to investing. This and other important information can be found in the fund's prospectus or variable annuity sub-account prospectus. Contact your financial advisor for a copy and always read it carefully before investing.