Prosperity Capital Advisors

PCA Advisor Resources

If you are an independent financial advisor searching for the tools and resources needed to provide holistic financial plans for your clients, Prosperity Capital Advisors (PCA) is your solution. We provide the tools, resources and support you need to run your office efficiently, freeing your time to focus more on the clients you serve.

Who we work with:

  • Individual Investors
  • Institutional Investors
  • Independent Advisors (either IARs and solicitor / subadvisor)
  • RIAs
  • Broker Dealers

Full-service support for:

  • Financial Planning

    • Best Interest Process for purpose driven asset positioning & documentation
    • Holistic Planning Process for charging financial planning fees
    • Industry leading financial planning & portfolio analytics software & training
    • Online eLearning training curriculum on advanced planning strategies
    • Coordinated investment, tax, insurance, legal, Social Security, & Medicare expertise
  • Portfolio Management

    • Pre-Tax Dimensional Fund Advisors Model Portfolios
    • Post-Tax Dimensional Fund Advisors Model Portfolios
    • Global Dimensional Fund Advisors Model Portfolios
    • ETF Model Portfolios
    • Advisor as Portfolio Manager (AaPM) Solutions
    • Cash Enhancement & Distribution Portfolios
    • Fee-Only Indexed & Variable Annuities
    • Institutional 401k management solutions
    • Strategic rebalancing & trade management including customized tax-loss harvesting on Post-Tax Models
  • Case Design

    • Highly designated and experienced team of Certified Financial Planners™ available for support
    • Fiduciary-focused & product agnostic supporting the complete spectrum of investment products from individual mutual funds & ETFs to annuities & insurance.
    • Proposal generation and fee analysis reporting
    • Tax-loss harvesting strategies
  • Compliance Services for IARs

    • Registration and maintenance of U4 and ADV 2B including initial and annual registration fees and state filings
    • Email supervision, archiving and encryption services
    • Ongoing review and approval of marketing materials including websites and social media accounts
    • Consultative compliance services via email and phone
    • Onsite office audit
    • Initial and ongoing compliance training
    • Audit support
  • Investment Operations

    • Access to the industry’s premier portfolio accounting services provider
    • Custom reporting for your client accounts
    • Trade order management
    • Cost basis & tax reporting
    • Required minimum distribution rebalancing processing
    • New account center dashboarding to see your account every step of the way
    • Business intelligence reporting
    • Advisory fee billing
    • New business processing & account services
    • Customized online advisor drive client vault for secure new business & servicing submission
  • Marketing

    • 21 compliance-approved packaged proven process to help you grow, automate and enhance your advisory business
    • 3 industry leading consumer seminars
    • Access to field general coaches and mentors to help guide your implementation
    • Professional corporate collateral, event invitations, brochures and websites
    • Turnkey In the News PR campaigns for credibility and exposure

As a Prosperity Capital Advisors affiliated advisor, you will gain access to a world-class wealth management platform in addition to our proven evidence based active management philosophy and accompanying portfolios that provide tax- and fee-efficient investment strategies with broad diversification. Tap into planning tools and training, such as our The Bucket Plan® Best Interest process, and receive support from our team of Certified Financial PlannersTM, business partners, and numerous online resources to help you every step of the way. Our process-driven business will give you the tools you need to create coordinated, holistic financial plans that incorporate your clients’ insurance, investments, taxes, and legacy needs.

Complete the form below to learn more about what Prosperity Capital Advisors can do for your advisory firm!