Wealth Advisor

About Our Firm:

We are an established and rapidly growing RIA with current locations in Santa Barbara and Santa Maria, and an expansion into Los Angeles happening right now. We currently support approximately 400 households and have over $350M in AUM. Unlike many advisory firms, our Founder is just getting started. We are 100% in build and growth mode and are driven by our mantra to help more people. We are all-inclusive and meet our clients where they are, while constantly seeking ways to do more and improve the client experience. We are proud of the way our team is cohesive, thoughtful and proactive with our clients, and believe it is the foundation of our success.

About Our Team:

We put our team's work-life balance at the forefront. We do work hard while we are here and have a high energy, fast-paced environment. We want to help you achieve your professional goals so that you can accomplish your personal ones. Development is an important part of our culture, and we look for those that strive to learn and grow in their business and personal life. This role will have the luxury of working closely with a Lead Advisor that has managed to this client set for many years. There will be a slow and thoughtful transition over a couple of years, with the goal that you eventually manage this client set.

About this Role:

We are looking for a Wealth Advisor, ideally with more experience than less but we do have some flexibility with that. You will be an important part of the financial planning process with our clients and involved in client meetings and other client-facing aspects of the firm. You will support the Lead Advisor through development of short and long-term financial goals, making investment recommendations, management of the financial plan, and also act as the center point of communication between the Lead Advisor, the Client, with the other team members internally, and all of our external partners. Over time, as the transition progressed, you will become fully responsible for these functions. You need to be the person that is constantly asking questions and is a sponge, seeking to learn from the current Lead Advisor.

Primary Responsibilities:

• Responsible for client relationship and retention management, including regular client contact and communication
• Data gathering and analysis, development of financial planning recommendations, implementation, and portfolio management
• Wealth Advisor will participate in client meetings with the Lead Advisor and compile meeting notes and task lists
• Update client financial reports for client meetings, such as planning updates, portfolio changes and reviews, information gathering, portfolio returns and implementing recommendations
• Document client correspondence and interaction in CRM, regularly contacting clients to help deepen the relationship
• Comprehensive financial planning, including coordinating of asset management, tax planning, estate planning and risk management
• Gather information regarding client finances, prepare reports, letters and other correspondence, as well as complete special projects as appropriate
• Assist with tax planning and preparation
• Able to convey competence and confidence to clients by providing accurate responses to questions and responding in a timely manner

Ideal Candidate Profile:

• Bachelor’s degree preferred, or equivalent combination of experience, education and training
• Minimum 3 years’ experience with independent registered investment advisor or broker-dealer
• CFP® Certification or CFP® Candidate
• Series 65 highly preferred
• Competency in investment and financial planning with proficient technical capabilities
• Self-confidence, personal integrity, and an understanding of fiduciary responsibility
• Ability to multi-task, manage time effectively, and take initiative
• Attention to detail and strong follow-through
• Strong verbal and written communication skills
• Ability to work independently on assigned tasks as well as to accept direction on given tasks
• Experience with Salesforce and Orion Advisor Solutions preferred