Partner With SFG
Unlock the Potential of Your
Financial Practice
Are you a?
Growth Advisor
See detailsAre you balancing the demands of marketing your services, managing day-to-day operations, growing your book of business, and delivering exceptional care to your clients? The early stages of a Financial Advisor’s career are full of challenges. This is where a reliable back-office support system makes all the difference.
At Saxon Financial Group, our goal is to handle the administrative and operational tasks, allowing you to focus on what truly matters—strengthening client relationships and growing your business effectively.
Seasoned Advisor
See detailsAre you an independent advisor looking to take your business to the next level? Whether you’re eager to build more value in your practice or yearning for the freedom and flexibility to run your business on your terms, partnering with a trusted RIA could be your solution.
When you partner with SFG, you unlock access to our comprehensive infrastructure, advanced technology solutions, and support, allowing you to focus on what matters most to you and your business.
Legacy Advisor
See detailsAre you considering ways to monetize your practice while maintaining your freedom as an independent financial advisor? Perhaps you’re exploring your options for a succession plan but feel it isn’t the right time to step away. You’ve spent years building a successful practice, and now it’s time to maximize the entrepreneurial benefits of your hard work.
At SFG, we help independent financial advisors craft tailored solutions to enhance the value of their practice while planning the future. Whether you’re actively thinking about selling your practice or simply looking for a reliable partner to share the load, we’re here to support your vision
Advisor Advantages & Resources
Pricing Advantage
Set your own fees—gain flexibility beyond traditional custodian fee models.
Multi-Custodian
Choose the custodian (Raymond James and Fidelity) that best fits your clients’ needs—without compromise.
Broader Investment Platform
Access a wide array of investment solutions to better serve diverse client goals.
Overhead Expense Relief
Reduce your fixed costs by leveraging SFG’s shared infrastructure—including office space, technology, telecommunications, and administrative support—so you can focus more resources on growing your business.
Team Approach
Access a wide range of investment solutions across asset classes.
Business Model Flexibility
Join a collaborative network of professionals with shared values.
Operational Support
Free up time and energy with back-office resources that keep things running smoothly.
Planning Support
Access tools and guidance for comprehensive financial planning.
Compliance Oversight/Facilitation
SFG handles regulatory compliance with proactive monitoring and expert support, so you can stay focused on serving clients without the burden of oversight
Investment Management
Delegate or collaborate—our investment resources are at your service.
Billing Support
Saxon Financial Group handles billing and fee processing—so you can stay focused on clients, not collections with full transparency.
Succession Planning
Build a continuity plan for retirement or the unexpected—with your values intact.
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Videos
Watch our videos
Estate Planning Essentials: Your Guide to Retirement Security
Optimizing Your Retirement Withdrawal Strategy for Tax Efficiency
Power of NUA: Is Net Unrealized Appreciation Right for you
FAQs
How is independence better for my clients?
Independent RIAs offer numerous advantages for clients seeking personalized, goal-oriented financial guidance. They prioritize tailored solutions over one-size-fits-all approaches, granting access to a wide range of investment products beyond proprietary offerings. With fee transparency, fiduciary responsibility, and unbiased advice, RIAs build trust while ensuring every decision aligns with clients’ best interests. Their smaller client bases allow for stronger relationships and enhanced communication, while advanced technology tools provide real-time insights and strategic planning. Independent RIAs are agile, innovative, and committed to financial education, empowering clients to make informed choices. Additionally, they ensure a seamless transition process, enabling clients to focus on achieving long-term financial goals with confidence and support.
How is independence better for advisors?
Transitioning to an independent RIA offers financial advisors significant advantages, including greater freedom and flexibility to tailor their practice, enhanced earning potential through fee-based models and cost savings, and stronger client relationships built on trust and transparency. Advisors gain full control over operations, the ability to customize their tech stack, and opportunities for business growth, from brand building to offering diverse services. The move also fosters professional fulfillment, ownership, and autonomy, with resources like custodial assistance and compliance support making the transition seamless. Becoming an RIA empowers advisors to define their success and create a rewarding career aligned with their vision.
Will my clients stay my clients?
Yes, your clients will stay your clients if you transition to an Independent RIA. Most clients value the relationship they have with you, not the firm you’re affiliated with. By explaining how this transition allows you to offer them more personalized service, enhanced investment options, and greater transparency, you can strengthen their trust in your decision.
Make it clear that the change will not disrupt their experience but rather improve it by aligning your services more closely with their interests. Maintaining regular communication throughout the transition and addressing any concerns or questions they might have will help ensure they remain confident in your ability to manage their investments.
What kind of support do you provide for transitioning a book of business?
We offer full transition support that includes:
- Dedicated transition coordinator
- Custodial paperwork preparation
- Repapering and digital onboarding tools
- Communication templates for clients
- Compliance review of client communications
- Ongoing training and technology onboarding
Our goal is to ensure advisors experience minimal disruption and maintain strong client retention during the move and after.
What custodians do you use?
We primarily use Fidelity and Raymond James as our custodians. These partnerships provide our advisors and clients with robust technology platforms, excellent service, and a wide range of investment solutions.
Do you assist with ACATs, client communications, and repapering?
Yes, we provide hands-on transition support, including help with ACAT transfers, repapering, and client communication strategies. In addition, we offer ongoing operations support at no additional cost to the advisor. Our goal is to make the entire process as smooth and seamless as possible for both the advisor and their clients, and to ensure you’re fully supported well beyond the transition phase.
What do I do about technology?
We offer a range of advanced technologies to enhance advisory services and client experience. These include portfolio management software for analysis and reporting, financial planning tools to create personalized plans, and client portals for secure 24/7 account access. Additionally, CRM software streamlines client relationship management, document storage systems handle sensitive data securely, and trading platforms simplify investment execution. Communication tools like video conferencing and email further support client interactions. Together, these tools empower advisors with flexibility and efficiency when transitioning to an independent RIA model.
Do you have in-house compliance, or is it outsourced?
We maintain a hybrid compliance model. Our core compliance function is managed in-house to ensure responsiveness and oversight, and we leverage external consultants for specialized regulatory needs and annual reviews.