Partnering With Your Financial Solutions Firm For Successful Business Building

Why Choosing to Partner with the Right Financial Solutions Firm Can Be a Game Changer for Your Business Development

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What are some of the best ways to recruit financial professionals? This question has kept financial services leaders focused on growing their enterprise up all night for years, especially as the financial industry has become increasingly regulated and restrictive. In today’s ultra-competitive financial climate, having a set of dynamic recruiting strategies can be the difference between acquiring top talent and just missing out.

As an enterprise leader focused on attracting new talent, this is where joining forces with the right partner firm can ignite your recruiting efforts and set your organization apart from the pack. Financial professionals have long made decisions using their own unique due diligence guidelines, and select firms that match those principles. Aligning with a partner firm that is flexible enough to help you match the different criteria financial professionals are searching for is paramount to success.

A flexible firm like Cambridge can work with you step-by-step in your quest to add talented financial professionals to your firm. As a firm with a proven track record of recruiting success, Cambridge can assist you with existing talent acquisition efforts, or we can work collaboratively to design marketing initiatives that will attract the skilled financial professionals you’re looking for.

This whitepaper is designed to provide insight into why recruiting is so important for business growth, and how Cambridge can help you capture the game-changing talent you need to maximize success.


We believe growth is necessary to continue providing innovative technology, strong regulatory support, and exceptional customer service. However, it is important to us that we preserve our culture and remain true to our core values. Some firms pursue growth at any price (e.g., aggressively recruit without concern for the impact to service), while others practice controlled growth.

We consider recruiting through enterprise leaders to be a smart growth strategy. A recruiting partnership with enterprise leaders is beneficial for several reasons. First, we are supporting valued members of our Cambridge family. Second, the strategy enhances our overall value proposition. As strong as we are as among industry leaders as a financial solutions firm with an independent broker-dealer and a corporate RIA, financial professionals often desire a local presence. A financial professional seeking office space, support for a specialized market, mentoring, or a sense of community will appreciate partnering with the right enterprise leader.

While we provide operational support and educational opportunities to all of our financial professionals, we respect the leadership role of the enterprise leader and conduct the majority of our interactions with them as them as the enterprise leader. If the enterprise leader has numerous financial professionals, Cambridge shares in the support of every one of them, but the delivery of the guidance is through the enterprise relationship.

Finally, administration at the local level allows our strong supervisory program to grow. As our partnership with business executives has evolved, we have identified a number of important “value-adds” that we bring to the recruiting engagement process to help enterprise leaders meet their recruiting goals. Outlined below are 10 ways Cambridge can help your business grow and recruit the best talent.

A financial professional seeking office space, support for a specialized market, mentoring, or a sense of community will appreciate partnering with the right enterprise leader.


1. Business Level Pricing

At Cambridge, we establish pricing at the business level. To create the best possible pricing for your business, we aggregate production, assets under advisement, and overall business mix. This has important, and exciting, implications for you. First, you have the ability to customize your offer to recruits. Some broker-dealers mandate specific payouts based on a financial professional’s production, but not at Cambridge. You can factor in a financial professional’s future growth potential, ability to bring in more recruits, or the contribution of key expertise to your overall practice.

Second, business level pricing allows you to determine how to best maximize your profitability and attractiveness to the recruit. You may offer your best payout to one financial professional. To another, perhaps you will offer a lower payout but provide lead generation support, administrative support, an office, or some other service the financial professional values.

2. Flexibility

In addition to our ability to support both commission and advisory business, we offer multiple choices regarding clearing firms and institutional custodial platforms, and accommodate a myriad of contact management and financial planning tools. We support a variety of business models, including those focused on banks, CPA firms, and retirement plans. We allow nearly unlimited split commission designs. We view our business builders as independent business owners; we impose no minimum production requirements or experience level for financial professionals you recruit to your office. It is rare that you will run across a financial professional with a business focus that falls outside of our capabilities. Partnering with Cambridge will open up a wide range of recruiting possibilities.

3. Growth Solutions

Our collection of growth solutions are designed to help businesses and financial professionals reach their full potential. Cambridge’s WealthPort®, a flexible managed account solution designed to meet the unique needs of multiple business models. By partnering with us, WealthPort and our wide variety of business tools are available to the financial professionals you serve and the ones you recruit. We also offer innovative growth solutions for acquisition and succession planning, outsourcing, and consulting – plus specialized support for social and sustainable investing.

4. Commissions and/or Fees

Cambridge has long been recognized as The Fee Experts®1, and continue to support financial professionals who embrace the value of commissionable business. Whether you are talking to a financial professional who is commission only, fee only or somewhere in between, you can be confident that Cambridge can help you support their desired business model.

5. Choice of Registered Investment Adviser (RIA)

You can recruit a financial professional who has or will have an independent RIA, should you decide to allow this. While this flexibility exists, the ever-growing regulatory requirements involved in running an independent RIA have caused many Cambridge financial professionals to partner with our corporate RIA once they see the wide range of flexibility it offers in fee platforms and fee billing structures.

6. User Friendly Technology

Cambridge has built a sophisticated trade review portal that pulls trades from all platforms onto a single screen for your review and prioritizes them for your efficient attention, making normally difficult trade review responsibilities a breeze. Our paperless processing of client trades will take the hassle out of exchanging documents for all parties

7. Transition Support

Cambridge realizes that financial professionals joining an enterprise incur expenses associated with their transition. We have developed a customized, competitive program to assist with transfer fees, registration and licensing fees, and other such expenses. We have created a variety of resources to help your new financial professionals make the transition a smooth process. One such resource is our Transition Express program, which is designed to assist in training your newest financial professionals and administrative staff.

8. Recruiting Support

Cambridge Business Development Directors believe in smart growth strategies and value the opportunity to work with business builders. Your Cambridge Business Development Director can coordinate an array of resources designed to help you bring in new talent. These resources include promotion of our Turnkey Office Space program, which lists locations where our business builders have available office space, as well as joint mailings, invitations to recruits to attend regional events and our conferences, home office visits, and technology demos. Additionally, we hold forums at various locations throughout the country and host exclusive sharing sessions for our enterprise leaders. These events provide an exchange of ideas among your peers – other enterprise leaders – and include industry observations from senior executives of Cambridge.

9. Financial Professional Growth Programs

At Cambridge, you have value-add programs to offer your recruit. These programs include services in business operations, marketing, office management, and professional development. Many of these resources are complimentary and can be used to develop your office specific programs. As such, you can support financial professionals in different market niches and further add to the value you provide, resulting in increased loyalty of your financial professionals to your office.

10. Succession and Acquisition Solutions

Cambridge offers our financial professionals an emergency business continuity plan that may be extended into a long-term succession solution. Business leaders can also offer similar solutions, and we can work with you to create and promote your custom process.

You’re only as good as the people around you.
– John C. Maxwell Author and Professional Speaker



The firm you choose to collaborate with should boost your recruiting efforts. At Cambridge, our collection of growth solutions, marketing strategies, and transition support plans simplify and streamline the process of identifying and acquiring the talented financial professionals you need to elevate your business to the next level. Our unparalleled flexibility and wide range of customization options will help you meet the expectations of potential recruits.

Finally, our values of integrity, commitment, flexibility, and kindness are at the core of how we approach every business venture and individual interaction. Our purpose is to make a difference in the lives of our financial professionals, their clients, and our associates. We strive to serve quality financial professionals with an independent mindset that share our purpose, values, and culture. We look forward to partnering together as you grow your business and serve investing clients.

Contact a Business Development Director ( to learn more about Cambridge’s recruiting strategies and how to partner with us at 877-688-2369.


About Cambridge

Cambridge Investment Group, Inc. is a privately controlled financial solutions firm focused on serving independent financial professionals and their investing clients. Cambridge offers a broad range of choices for independent financial professionals regarding solutions for advice, growth, technology, and independence. Cambridge’s national reach includes: Cambridge Investment Research Advisors, Inc. – a large corporate RIA; and Cambridge Investment Research, Inc. – an independent broker-dealer, member FINRA/SIPC, that is among the largest privately controlled independent broker-dealers in the country.

Are you Independent?

Our culture of true independence means you, the financial professional, control the journey. Your long-term success is defined by the value you deliver to your clients, and your enduring success is often driven by your business efforts being a clear reflection of your personal values.

Talk to a Business Development Director

1 See Ten Factors Often Overlooked in Selecting a Broker-dealer – A Due Diligence Thought Paper, by Kyle Selberg

2 The Fee Experts® is a registered mark of Cambridge Investment Research, Inc. for its investment advisory service for investment managers.

3 REP. magazine, 2013, ranked No. 1, with an overall score of 9.6 out of 10. Between November 14, 2012 and January 6, 2013, Penton Research and REP. invited independent broker-dealer advisors to participate in its Broker Report Card Survey that measured satisfaction with their firm in seven different categories from compliance to product offerings. Firms were scored on a scale of 1-10, with 10 being the best. Penton received 2,992 surveys. Of those, 2,873 respondents had worked in the industry for the required one year or longer. In order to be reported, at least 50 respondents from each brokerage firm was required. Twenty-two firms met this requirement in 2013.

The information discussed herein is general in nature and provided for informational purposes only. There is no guarantee as to its accuracy or completeness. Nothing in this white paper constitutes an offer to sell or a solicitation of any offer to buy any type of securities. Reprinted by permission for use by Cambridge. All rights reserved.

Securities offered through Cambridge Investment Research, Inc., a broker-dealer, member FINRA/SIPC, and investment advisory services offered through Cambridge Investment Research Advisors, Inc., a Registered Investment Adviser. Both are wholly-owned subsidiaries of Cambridge Investment Group, Inc. For financial professional use only V.CIR.0221-0529