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AdaptFirst Services for Advisors

  • Billing

    • Fee schedule management

    • Bill clients quarterly

    • ACH proceeds to advisor

    • Paper mailing available

  • Trading

    • Directed/Manual Trading

    • Model Trading and Rebalancing

    • Sub-advisor or Third Party Management available

  • Compliance

    • Supervision per current regulation

    • Audit Compliance

    • Email Review

    • File Review

  • Performance Reporting

    • Account Aggregation available

    • Performance and Allocation Reports

  • Practice Management Tools

    • Office365 Programs

    • Cloud Storage

    • Encrypted Email

  • Social Media

    • Compliance Review

    • Post Generation

    • Archiving


Advisor Cooperative

Are you tired of “production requirements”? Do you enjoy giving an unlimited amount of your revenue to your broker-dealer?

Many business models a financial advisor has to choose from are out-dated and are not in the advisor’s best interest.

AdaptFirst has created a flexible, low-cost advisory platform so advisors can grow or maintain their business the way they see fit. As a DBA or under the AdaptFirst name, advisors are not required to do joint work nor recommend certain investments. Flexibility, fairness, and friendship are cornerstones of this firm and we want to help others succeed.

No production requirements and a CAP on service fees allows advisors to manage their book according to their objectives and not be penalized for growing their business.

Do the Math

What do you mean there is a “Cap on Service Fees”?

Your Assets Under Management = $10,000,000

You charge 1% for management of those assets

Your revenue is $100,000

If your broker-dealer gives you an 80% payout, you keep $80,000 and pay the broker-dealer $20,000 for their services. AdaptFirst’s service fee cap is $15,000. So you immediately save $5,000 per year.

If your Assets Under Management grow to $20,000,000….

Your broker-dealer service fee INCREASES to $40,000…

At AdaptFirst, your service fee is only $15,000. (Remember, it’s capped)

You are probably asking ‘What’s the catch?’ because no other firm is doing this. The answer is - fairness. When you start a company, you have the opportunity to fix things. I worked at a broker-dealer, so I know what they do. I realized when my friend joined my firm that my compliance responsibilities do not double if he doubles his book of business. So why double his service fee? It’s not fair, so I’m changing the standard. The cap compensates (fairly I think) AdaptFirst for the service we provide, and the advisor doesn’t get penalized for growing their business. I think it is a win-win!
— Charles Freeman, CFA President of AdaptFirst Investments