Strategic Relationships

Kestra Investment Services, LLC – Our Broker/Dealer

We are independent, but that doesn’t mean we’re alone. We are a member of Fusion Advisor Network, a group of leading financial advisors from across the country. Through this network, we receive top-notch practice management support and have a community of like-minded advisors to share best practices with. These shared practices translate to better service and solutions designed with our clients in mind. In addition, Fusion Advisor Network is affiliated with Kestra Investment Services, LLC (formerly NFP Advisor Services), offering a top 10 independent broker/dealer by total revenue (as ranked by Investment Advisor magazine, June 2015) that serves 1,393 independent advisors’ clients. As an independent advisor with the strength of both Fusion Advisor Network and Kestra Investment Services, LLC behind us, we’re able to get our clients access to top providers and products at competitive pricing difficult for advisors to obtain, especially if they’re on their own.

Fidelity Clearing & Custody Solutions ® – Our Asset Custodian

Every broker/dealer needs a clearinghouse to provide trade execution, clearing and other related services for your brokerage accounts. Kestra Investment Services, LLC’s brokerage accounts are carried by Fidelity Clearing & Custody Solutions ® and it’s broker-dealer National Financial Services, LLC (NFS), member NYSE/SIPC. Securities in accounts carried by NFS, are protected in accordance with the Securities Investor Protection Corporation (SIPC) up to $500,000. The $500,000 total amount of SIPC protection is inclusive of up to $250,000 protection for claims for cash, subject to periodic adjustments for inflation, in accordance with terms of the SIPC statute and approval by SIPC’s board of directors. In addition to SIPC protection, NFS provides for brokerage accounts additional “excess of SIPC” coverage. The excess of SIPC coverage will be used only when SIPC coverage is exhausted. Like SIPC protection, excess of SIPC protection does not cover investment losses in customer accounts due to market fluctuation. It also does not cover other claims for losses incurred while broker-dealers remain in business. Total aggregate excess of SIPC coverage available through NFS’s excess of SIPC policy is $1 billion. Within NFS’s excess of SIPC coverage, there is no per-account dollar limit on coverage of securities, but there is a per-account limit of $1.9 million on coverage of cash awaiting investment. This is the maximum excess of SIPC protection currently available in the brokerage industry. Neither coverage protects against a decline in the market value of securities, nor does either coverage extend to certain securities that are ineligible for coverage. 831385.3.0