Q: How many financial professionals do you have, and how many home office employees do you have to support them?
A: Investacorp has approximately 450 financial professionals and a home office staff of 80. With a financial professional to home-office employee ratio of 5:1, our financial professionals are not just a number in our system. We value the relationships that we forge with our financial professionals and give them every avenue possible to satisfy their needs.
Q: Where are you located?
A: Investacorp is headquartered in Miami, Florida.
Products & Service Offerings
Q: What products and services do you offer?
A: Investacorp is a subsidiary of Ladenburg Thalmann Financial Services, Inc. and along with our sister companies, we provide the combined services of a national broker-dealer:
- Insurance agency
- Investment bank
- Fixed income desk
- Trust services
This multi-company support structure allows Investacorp’s financial professionals to guide clients through all areas of financial management. This includes tax-efficient wealth accumulation, retirement income planning, college planning, financial risk management, estate planning and business exit strategies. Our agnostic, open-architecture approach to product and service deployment allows our financial professionals to select from commission-based, fee-based or hybrid-style business models.
Q: Can you tell me about what you offer for fee-based asset management programs?
A: We have a variety of different programs on our fee-based platform; everything from Rep as PM options to over 20 direct relationships with esteemed asset managers. We also have a close relationship with Envestnet who house our Rep Managed portfolios, offering UMA, FSP, and other strategies through the hundreds of TAMP relationships they have.
Q: Can I do insurance business with Investacorp?
A: Yes, we have relationships with several different FMOs (Financial Marketing Organization) in the field; notably Highland Capital Brokerage (owned by our parent company Ladenburg Thalmann). Fixed insurance business must be processed through Investacorp, and we provide ample resources that are very competitive in compensation and can satisfy those needs.
Q: What research support do you provide?
A: Through one of our sister companies, Ladenburg Thalmann Investment Banking, we have a team of research analysts who cover hundreds of companies and industries. You can find their coverage and analysis on our website.
Q: Do you offer any financial planning software?
A: We have several different financial planning software companies that we work with but financial professionals must be pre-approved by our compliance department to be allowed to do this type of business for a fee.
Q: Who is your clearing firm?
A: Investacorp clears through National Financial Services, a comprehensive clearing platform backed by the strength and reputation of Fidelity Investments, a firm with nearly 70 years of investment experience. Wealthscape is the powerful global trading platform offered by NFS which gives financial professionals access to leading investment solutions.
Q: What kind of transition support do you have?
A: Our dedicated and thorough Transition Team provides expert guidance and support through a streamlined, four-phase transition process, from start to finish. Click here to see the process.
Q: Can you tell me about your Compliance department and your approach to compliance?
A: More than half of the financial professionals who join Investacorp cite compliance as a major consideration in their decision to change broker-dealers.
- Our compliance department is focused on facilitating and building relationships.
- We take the time to learn your business model so that we can help steer your practice in the right direction.
- We are committed to working with you to find solutions to your client’s objectives within the regulatory environment in which we operate.
- Our compliance officers and examiners have broad experience in retail financial sales, so we are especially empathetic to the challenges that financial professionals face each day in this highly regulated industry.
Whether it is assisting you in the review of ads, sales letters and website content, or facilitating continuing education, we are justifiably proud of how Investacorp’s compliance team functions as an extension of your practice.