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info@upstreamip.com
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Value Proposition

"Support and teamwork with an open, entrepreneurial culture"

1. NOT PUBLICLY TRADED AND NEVER WILL BE

  • Advisor-Based Culture
  • No Proprietary Products – Open Architecture
  • Client First Mentality
  • Multiple Business Models and Pricing Flexibility
  • No Changing Corporate Initiatives
  • Consistent Compensation Structure

2. INDEPENDENT BUT NOT ALONE 

  • Regional Support Structure
  • In Office Branch Director
    • Marketing support
    • Compensation not bonus based (no “pressure to drive corporate campaign”)
    • Hiring, training and management of office staff and sales support
    • Furniture, computer, communication systems in place
    • No focus on monthly expenses (ie cable bill, trash collection, cleaners,copier/printer)
      • “Office structure” allows bundling of expensesIn Office Branch Director
    • Wholesaler coordination, support and control
  • Recruiting Support Structure to Add:
    • Additional advisors to your team
    • Source businesses to buy or assume
    • Find experienced sales support
  • Business Plan Support
    • Goal assessment
    • Campaign structure
    • Marketing plan
    • Teaming/Growth decisions

3. BROKER/DEALER BUSINESS – NATIONAL FINANCIAL

  • Thomson One/Streetscape Trading Platform
  • 290+ Mutual Fund Families
  • 110+ Annuity Providers
  • 9 Fixed Income Platforms
  • 529 Plan Open Architecture

4. ADVISORY BUSINESS – FIDELITY INSTITUTIONAL

  • Advisor Managed
  • Separate Account Managers
    • Multiple solicitor programs
    • Numerous advisor managed opportunities

5. FINANCIAL PLANNING

  • Software Flexibility
  • Ability to Charge or Not Charge a Fee
  • Home Office Case Planning Support
  • Certified Wealth Strategist (CWS) Program Support

6. INSURANCE/ANNUITIES

  • Numerous Variable and Fixed annuities providers
  • Open Architecture on Life Products
  • General Agent Flexibility (Field Marketing Organization)

7. ALTERNATIVE INVESTMENTS

  • DPP’s
  • REIT’s
  • Oil and Gas Limited Partnerships
  • Managed Futures

8. TOP TIER TECHNOLOGY

  • Corporate Discounts Available for Outside Systems

9. ENTREPRENEURIAL, GROWTH SPIRITED B/D AS PARTNER

  • Right Size – 620 Advisors, 100+ Back Office Staff
  • Named “Broker/Dealer of the Year” 10 Times Since 1991
  • Personalized Case Planning Department
  • Positive Home Office Environment, Focused on FA Support, Not Shareholder Value
  • Focus on Training