Why partner with TKG?

A decade long shift in the advisory industry has created an interesting paradigm in which investment professionals are presented the benefit of increased options in how to structure their businesses and serve their clients.  However, difficult questions arise in how to handle the complex areas they are not accustomed to or equipped to deal with.

Commonly, an advisor has to choose between the freedom of a being a fully independent Investment Advisor, or conversely, the convenience of being the representative of a large, bank-affiliated wire-house.

Independence provides the advisor the advantages of attractive compensation, personal branding, and the ability to approach his or her practice with a true entrepreneurial spirit, but presents numerous problems that most investment-minded advisors would rather not worry about.

Regulatory issues, technology and cyber-security concerns, marketing and business burdens, and logistical hurdles such as office accommodations and administrative support, are all areas that a fully independent advisor must attempt to tackle single-handedly.

Acting as the representative of a larger, bank-affiliated wire-house does not have these same issues, but presents its own share of problems. Motivating their advisors to sell their own proprietary products and to serve specific economic demographics, wire-houses have made it increasingly difficult for their advisors to offer unbiased financial advice, or allow them to offer their services to a wide range of potential customers.

Additionally, bureaucratic red-tape commonly hinders ease of doing business, and a general mindset of uniformity presents roadblocks to offering creative products and solutions for their clients.

The best of both worlds.

TKG Financial offers advisors the ability to blend the best of both worlds. Highly customizable platform solutions allow our partners to create the ideal level of independence and support required of their businesses.

Our advisors can choose to uniquely brand their service or take advantage of the TKG Financial name and reputation. They can take advantage of our customized, routinely vetted product platform without being improperly motivated to sell a certain product or service.

“Freedom. Convenience. Support. There is no reason that investment advisors today should operate without the benefit of these three elements.”

They benefit from our established clearing arrangement, providing their clients increased account protection, debit card and checking services, online account access, and congregative account housing and statement generation.

Additionally, they have access to our comprehensive administrative and compliance support allowing them the time and freedom required to concentrate on their business and their clients.


Oftentimes the largest barrier to independence is the daunting complexity of the transition process. TKG Financial recognizes the importance of this key element and has established methods to ensure minimal disruption to an advisor’s business while prioritizing client retention.

Our Partnership Platforms

Partnering with TKG Financial is a step by step process that begins with analyzing your practice to determine which Platform is best suited for your business. Within these Platforms are customizable options which include technology solutions, administrative support levels, marketing assistance and on or off-site availability. Examples of possible platforms include:

Main Office Platform

This Platform is key for the advisor wanting to concentrate on their current practice without worrying about the complexities of leasing an office, investing in equipment and software, or deal with the cost and headaches of self-compliance. This Platform includes a turn-key, Class A office at TKG Financials main office in Santa Barbara, and includes dedicated administration support and compliance oversight. For the advisor comfortable in a wire-house atmosphere, and who enjoys the camaraderie and other positive aspects of a traditional office, this Platform provides a comprehensive solution.

Full Service Regional Platform

This Platform is similar to the Main Office Platform but is for the advisor who is not in the Central California region and needs office space locally. TKG Financial will establish a working office in the advisors region and offer full support. In-house administration support is also available along with complete compliance oversight. This Platform offers a broad range of possibilities.

Home Office Platform

The Home Office Platform is for the advisor who chooses to work remotely from their home office or another location not provided by TKG Financial. Generally, this option is for the advisor who is in the beginning stages of retirement and is looking for increased comfort and flexibility. This Platform can include a wide range of service and support depending on what the advisor is looking for.

Branch Office Platform

This Platform is for the advisor or team looking to expand their business and partner with TKG Financial in the establishment of a branch office. This Platform gives the advisor or team full freedom to establish a privately branded practice geared toward growth.

To take the first step towards your independence and explore the options that best suit your needs, contact us to discuss how partnering with TKG Financial can open up a world of services to you and your clients.