For Advisors
PROTECT
Help ensure your business is preserved with our operations, onboarding and transitions, and in-house compliance advocates.
GROW
Work with us to grow your business through our marketing and asset management programs.
MONETIZE
Move your practice value from your employer to your personal balance sheet to potentially receive a higher payout.
Business Operations
Seventy2 Capital provides a full-service solution for you to optimize your practice. We handle the operations of running a company so that you can focus on managing your book of business. This includes:
- Real Estate – Class A real estate with modern furniture, security, insurance coverage, and office supplies.
- Administrative Support – High-caliber client support personnel with competitive pay, generous benefits, and a welcoming culture. Onboarding assistance for current client service personnel.
- Technology – Cutting-edge technology including ongoing 24/7 technology support, computers, printers, routers, servers, and security infrastructure.
- Estate Preservation – Buy-sell and disability agreement to help ensure business continuity and estate protection.
- Support to Purchase and/or Exit the Business – Legal infrastructure and experienced team help you buy other practices and/or sell your practice. Wells Fargo Advisors Financial Network and Seventy2 Capital Wealth Management do not provide legal or tax advice.
- Human Resource Support – Administration of payroll, 401(k), and benefits including health care.
Please contact Craig Martin, Managing Director, Operations, to learn more.
Onboarding Support
In addition to the Wells Fargo Advisors Financial Network (WFAFN) transition team, Seventy2 Capital Wealth Management offers in-house onboarding support, such as:
- Account Opening – The WFAFN team supports account opening and asset transfer activities as well as training and guidance. Transition metrics are available to track onboarding progress, and team members are dedicated to assist in your transition.
- Extended White Glove Service – A transition is more than simply transitioning your assets. We work with you to map everything over and help ensure clients have a positive experience throughout the process.
- System Training – Many resources are available to help you learn the system. Seventy2 Capital provides onsite training. WFAFN also provides a virtual trainer for 12 months and a dedicated number for training and questions.
Please contact Quyen Le, Operations & Onboarding Manager, to learn more.
In-House Compliance Support
Our in-house compliance support team is here to help protect your business amidst ever-changing industry requirements, with:
- Internal Reviews – In addition to the protection of WFAFN’s compliance approval process, Seventy2 Capital offers in-house support for compliance submissions and the editing process.
- In-House Support – Work with experienced professionals to help you protect your business, coordinate WFAFN internal examination, and complete ad hoc regulatory audits.
- Compliance Advocate – Our team operates in a partnership model, working with you to help find a compliant way to achieve what you are trying to accomplish.
Please contact Christine Roberts, Compliance Director, to learn more.
Marketing & Business Development
Advisors benefit from our established brand and reputation within the industry. Our in-house marketing team offers the following services for advisors and their associates:
- Marketing Collateral – Client pitchbooks, custom flyers and advertisement design, branded office supplies and stationery, business cards, and swag.
- Website & Social Media Presence – Direct URL to bio page, press releases for new advisors and awards, and LinkedIn profile support and content pipeline.
- Events – Bi-quarterly client webinars, internal team member events, and communication support for client appreciation events.
- Outreach Assistance – Copywriting and compliance support for mass communications, an internship program with prospect outreach.
Please contact Katy Jones-Powe, Marketing Director, to learn more.
Asset Management
A dedicated, internal, Certified Financial Analyst-led team provides research, thought leadership, and client updates.
- Discretionary Risk-Based Models – dedicated staff, active management and performance monitoring, and internal Unified Managed Account “UMA” where advisors can build their own portfolios out of managed sleeves to their desired allocation
- Client-Level Account Customization – inclusionary or exclusionary client-level customization, distribution management, and investment implementation
- Market Insights – market commentary and quarterly webinar series, internal advisor guidance on market positioning and tactical ideas across various product areas
- Sales Materials – portfolio fact sheets and reports, custom proposal decks for clients and prospects, quarterly strategic guidance and positioning insights
- Recommendations for Alternative Investments – closed-end funds, structured products, and syndicate offerings
Please contact Mike Levitsky, Managing Director, Investment Strategy, to learn more.
Financial Considerations
Advisors may benefit from moving from Employee (W-2) to Owner (1099) Income.
- Move your practice value from your employer to your personal balance sheet, which could result in a higher payout.
- Potentially increase your pre-tax savings options such as the establishment of defined benefit plan. Please consult your CPA for more details.
- Gain greater control of your taxable income through allowable business-related expenses such as travel, car lease/purchase.
- Maximize the value of your personal practice by partnering with an organization that is growing. Additionally, capital investments that provide monetization of your practice are available through third parties.
*Wells Fargo Advisors Financial Network and Seventy2 Capital Wealth Management do not provide legal or tax advice. We encourage you to speak to your chosen tax advisor regarding your specific situation.
Please contact Tom Fautrel, President & Co-Founder, to learn more.
Our Advisors’ Stories
For me, being able to say I truly own my own wealth management practice, which I built over thirty years, was a driving motivation for my move to independence. I evaluated all the various platforms available to an Advisor when choosing to go independent. I kept coming back to what my clients would expect of me: safety, security, supervision, and services. Seventy2 Capital checked each box that my clients, many of whom have been with me for decades, would expect me to check.
At Seventy2 Capital, I’ve had the opportunity to build out an office with awesome people who are excited to join a first-class team. This practice provides advisors with a great environment for growth and amazing support for their business. There is nothing like being part of a fast-growing team to motivate you to be your best!
I joined Seventy2 Capital in March 2021 for the autonomy and independence this opportunity offers - autonomy to focus on the needs of my clients and independence by owning my practice and having more tools to grow and expand my book. The move wasn’t an easy decision, but in less than four years I have been able to deliver the service my clients expect and provide them with additional support, deepening our relationship. My practice has tripled in size; year to date I was able to achieve a 70% growth rate from the prior year while expanding my team and support staff by way of acquisition and organic growth.
I consider my move to Seventy2 Capital to be immensely successful. The ability to take ownership of my practice, grow at rates that previously weren’t attainable, and deliver for my clients has been terrific for me personally, but also for my team and client base. I was able to keep the tools of a large wirehouse platform and achieve new mechanisms for growth, book acquisition, service, and professional advancement. I couldn’t be more grateful for the opportunity I have had during my tenure here and look forward to building on what we have achieved in the future.
Seventy2 Capital brings a culture of entrepreneurship and teamwork to serve our clients in the best way possible. Our leadership team is always looking to improve the experience for clients, advisors, and our amazing support staff. Our team is looking out to help you as an advisor. We have awesome people to work with and everyone values and truly appreciates every team member. There is no dealing with middle management agendas and no internal product pushes, just incredible support to serve our clients – it’s just what top-notch financial advisors and their clients want and need.
As my career progressed, I saw independence as the next logical step and explored opportunities with several Wells Fargo Advisors’ Financial Network practices. In 2024, I joined Seventy2 Capital, which opened the Red Bank, NJ office to accommodate my growing practice that now includes three Financial Advisors and three Client Associates.
Supported by a Wells Fargo transition coordinator for six months, along with Seventy2 Capital team members, my experience proved to be a seamless transition for our clients and my practice. With full access to Wells Fargo products and services, we’re able to leverage the skillsets of our team members to serve clients throughout their various life stages and financial needs as an independent practice.
The experiences discussed are specific to those associates listed and may not be representative of the experience of other associates.
This information is made available with the understanding that Wells Fargo Advisors Financial Network and its affiliates are not engaged in rendering legal, accounting or tax advice. Any discussion of taxes represents general information and is not intended to be, nor should it be construed to be, legal or tax advice. Tax laws or regulations are subject to change at any time and can have a substantial impact on an actual client situation. Seventy2 Capital will be happy to coordinate with your tax and legal professionals.
Insurance products are available through non-bank insurance agency affiliates of Wells Fargo & Company and underwritten by non-affiliated Insurance Companies. Not available in all states.
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