Producing Broker Dealers, Books of Business and RIA's

Producing Broker Dealers,Books of Business and RIA's

BDX ID Summary Description
bdx 30025

Mutual fund and annuity book for business. approximately 4 million under management in accounts held at the funds. pays approx. 30k per year in trails. asking 80k


Producing Mid-West Broker dealer with 20 producing reps available. Over 1.25 million in revenues in 2014 and on pace for 1.75 million in 2015. This is a firm with most of the income streaming from reoccurring revenue streams and trails. AUM have been growing year after year and currently manages nearly 200 million.(130 million held directly at clearing firm) Net profits of approximately $500,000 All the reps are clean and located in one office. Excellent clearing agreement in place with very low ticket charges. Turnkey solution for the right buyer as owner would like to return to production. please call for details and pricing.


National Brokerage firm for sale. Over 250 Registered Reps and Financial Advisers. Revenues have averaged approximately 22 million the last three years. Revenues derived primarily from reoccurring revenue streams, mutual funds, Variable Annuity and adviser fees. Excellent back office staff and software structure. The firm is profitable and still expanding. Al potential suitors will be required to sign a strongly worded NDA and provide proof of funding. Asking price is 15 million


MUTUAL FUND FOR SALE! awesome opportunity for RIA's,Advisers and firms looking to take the next step. Over 50 million in AUM spread across several different funds. Firm is netting $500,000 per year after fees and compliance and could earn 10-20% more than that if some of the funds were merged to consolidate costs.Owner will assist in transition, compliance and management for a short period. Fund is relatively new and completely up to date and trades under ticker symbols. We are requesting only serious buyers who can pay cash, not interested in a pay out so please do not ask. This is perfect vehicle if you have thought about moving your assets into the managed side. Fund is accepted at all the major brokerage houses $2,000,000. Must show proof of funds.


Producing NY area full services firm. Approximately 40 Million in AUM with 20 producing reps. manager will stay on and produce even more once relieved of compliance duties. Dual clears at RBC and Cor. Firm did approximately 3 million in revs in 2017 and over 3.5 million in 2018. Clean and approved for nearly every single business line. All revenue is in big board /OTC equity. Also approved for up to 65 reps and 20 offices. Currently has 3 offices. Asking 1.5 million.