Investment Management Platform

If you’re a firm authorised by the FCA seeking a platform partner that understands and can support your investment management offering, our Investment Management Platform offers a highly competitive solution with optimal efficiency and control.

Compare the options

	Employed Affiliation	Independent Contractor	Investment Management Platform
Custody	✔	✔	✔
Portfolio Management Tools	✔	✔	✔
Access to investment Products & Tax Wrappers	✔	✔	✔
Access to internal & third-party research	✔	✔	£
Investment Management & Advice Framework	✔	✔
Supervision & Risk Management	✔	✔
CRM and Financial Planning Tools	✔	✔
Professional Indemnity Insurance	✔	✔
Financial Assistance	✔	✔
Practice Intelligence	✔	✔
Retirement & Succession Planning	✔	£
Marketing	✔
Premises*	✔
HR Support	✔

*Independent contractors can choose their own office location.

Four step process

Incorporating the Raymond James Investment Management Platform is an exciting and rewarding opportunity to take your practice to another level, with the benefit and peace of mind of our established middle and back-office support and technology infrastructure. However, it is also a challenging and demanding task to develop and manage your own advisory or discretionary investment management branch and as we know from our considerable experience in the US, Canadian and UK markets, there are some critical issues that you must consider.

Let’s meet

The Raymond James Business Development team will collaborate with you; outlining our offering in detail, and ensuring that they fully understand your specific needs.

Set up a confidential meeting with us

Reviewing your plan

Once we are both satisfied that there is sufficient common ground to take things forward, you will need to consider the implications of interrupting some aspects of your daily work and preparing for a time and resource commitment to migrate your clients onto the Raymond James platform. You may wish to consider:

Timescale for implementation of the Wrap Platform, including the appointment of any specialist personnel or operations expertise
Expected charging structure to clients
Any changes to your investment proposition and related research and infrastructure requirements
Marketing approach and tools
Impact to existing workflow, terms of business, technology and CRM software integration

Appraisal

We will require some additional information so we can understand the specific needs of your branch. In particular we will ask you to complete a discovery document, providing information about your firm so we can ensure we address the areas of most interest to you.

When appropriate, the Relationship Management team is introduced to address any questions you may have regarding Raymond James’ services and support as well as contractual queries. As part of this exercise, we spend time reviewing the logistical, regulatory and operational challenges of moving your established client base and associated assets onto our Investment Management Platform.

Relationship management

Get started

Once we are all clearly committed and ready to proceed, a Financial Intermediary Agreement will be executed. This document sets out all charges, indemnities and responsibilities of the parties, including the rights for severance and termination. A specimen copy is available for review. Once signed, the formal Transition process can begin.

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More information on our other options

Employee affiliation

Our employed affiliation option empowers wealth managers to run their own practice while benefiting from the security of employment. Raymond James takes responsibility for managing office space, hiring and HR support, whilst allowing the wealth manager to fully concentrate on clients and developing their practice.

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Independent contracting

Wealth managers that choose to work with Raymond James as an independent contractor enjoy all the rewards of running their own practice alongside the resources of a full-service, global financial services firm.
Unlike employed affiliates, our independent contractors are responsible for choosing their office space, hiring, and management of their teams.

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