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Carrie Gallaway CFP® and CeFT®, YorkBridge Wealth Partners
Member of the Dynasty Network since 2016

Learn more about YorkBridge Wealth Partners

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Dynasty is

Dynasty is the opportunity for independent advisors to truly cater to their clients, to optimize the efficiency of their business, and to fully benefit from the ownership of their own firm. We have designed our services and built our platform to give you that power.

Consulting Services Through Dynasty Enterprise Group

The Dynasty Enterprise Group helps the wealth management industry’s largest and most sophisticated firms optimize operational efficiencies, maximize growth and expand margin. We find many firms face similar common roadblocks to growth and The Dynasty Enterprise Group takes an in-depth look at all these areas, relative to industry bench-marking and best practices. We then offer solutions to improve efficiencies, growth and financial metrics.

Organic Growth

  • Do your advisors have the adequate training to become rainmakers?
  • Is your company structured to free up time for proven rainmakers to bring in business?
  • What is your company’s value proposition? Why do clients join your firm?
  • What is your marketing strategy to bring in new clients to your firm?
  • Technology: How will you use technology to track your pipelines?
  • How does your prospective client process look like?

Inorganic Growth through M&A

  • Are you M&A ready?
  • How are you going to source new recruits?
  • How do you carry out due diligence on potential candidates?
  • How do you market to potential recruits?
  • How will finance potential deals?
  • Once an advisor comes on board, how will you transition them across?

Firm Profitability

  • Is your profit margin in line with your peers?
  • What should your profit margin should be?
  • How do you improve your P&L?

Operating Efficiency

  • What technology infrastructure is right for my firm?
  • Once decided, how do I transition over to this new software?
  • Is my internal team structure for growth?
  • Are my client relationships being managed efficiently?

Optimize Technology

The Dynasty Enterprise Group works with firms to build the optimal technology infrastructure for each firm:

  • CRM
  • Portfolio Reporting
  • Trading
  • Client Portal
  • Client App
  • Advisor Portal/Apps
  • Compliance
  • Investment Platform

Selling your Firm

  • Is your business structured to maximize the enterprise value for your stakeholders?
  • How are you going to explore potential acquirers?
  • How are you going to do due diligence on each acquirer?

Next Generation of Advisors

  • How are you going to recruit the next generation of advisors?
  • How are you going to manage those advisors?
  • What training programs are you going to put in place for those advisors?

Targeting Larger Clients

  • Do you have a sophisticated enough investment platform to cater for a larger clients’ needs?
  • Are you advisors capable of handling larger clients?
  • Is your client service model built to cater towards a clients’ needs?
  • How does your marketing strategy match your desire to target larger clients?

Human Capital Management

  • How do I tell if I am actually overstaffed?
  • How do I structure our compensation plans effectively?
  • How do I offer equity to my workforce?
  • What is my strategic plan for the future?

Optimizing your Investment Offering

  • What range of investment categories do you have access to and expertize in?
  • What research and trading tools do you have to hand?
  • How efficient is your portfolio management process?

Building an Exceptional Client Experience

  • From the very first engagement to ongoing regular client management, what processes do clients go through?
  • How does your firm interact with each client and how can this be delivered efficiently?

Managing Compliance Requirements

  • Do I have all my bases covered? Do you know what you don’t know?
  • Is your compliance process both efficient and exhaustive?
Organic Growth
  • Do your advisors have the adequate training to become rainmakers?
  • Is your company structured to free up time for proven rainmakers to bring in business?
  • What is your company’s value proposition? Why do clients join your firm?
  • What is your marketing strategy to bring in new clients to your firm?
  • Technology: How will you use technology to track your pipelines?
  • How does your prospective client process look like?
Inorganic Growth through M&A
  • Are you M&A ready?
  • How are you going to source new recruits?
  • How do you carry out due diligence on potential candidates?
  • How do you market to potential recruits?
  • How will finance potential deals?
  • Once an advisor comes on board, how will you transition them across?
Firm Profitability
  • Is your profit margin in line with your peers?
  • What should your profit margin should be?
  • How do you improve your P&L?
Operating Efficiency
  • What technology infrastructure is right for my firm?
  • Once decided, how do I transition over to this new software?
  • Is my internal team structure for growth?
  • Are my client relationships being managed efficiently?
Optimize Technology

The Dynasty Enterprise Group works with firms to build the optimal technology infrastructure for each firm:

  • CRM
  • Portfolio Reporting
  • Trading
  • Client Portal
  • Client App
  • Advisor Portal/Apps
  • Compliance
  • Investment Platform
Selling your Firm
  • Is your business structured to maximize the enterprise value for your stakeholders?
  • How are you going to explore potential acquirers?
  • How are you going to do due diligence on each acquirer?
Next Generation of Advisors
  • How are you going to recruit the next generation of advisors?
  • How are you going to manage those advisors?
  • What training programs are you going to put in place for those advisors?
Targeting Larger Clients
  • Do you have a sophisticated enough investment platform to cater for a larger clients’ needs?
  • Are you advisors capable of handling larger clients?
  • Is your client service model built to cater towards a clients’ needs?
  • How does your marketing strategy match your desire to target larger clients?
Human Capital Management
  • How do I tell if I am actually overstaffed?
  • How do I structure our compensation plans effectively?
  • How do I offer equity to my workforce?
  • What is my strategic plan for the future?
Optimizing your Investment Offering
  • What range of investment categories do you have access to and expertize in?
  • What research and trading tools do you have to hand?
  • How efficient is your portfolio management process?
Building an Exceptional Client Experience
  • From the very first engagement to ongoing regular client management, what processes do clients go through?
  • How does your firm interact with each client and how can this be delivered efficiently?
Managing Compliance Requirements
  • Do I have all my bases covered? Do you know what you don’t know?
  • Is your compliance process both efficient and exhaustive?

Services

The Dynasty Service Pillars offer a sophisticated and comprehensive array of services that support the Network Advisory Firms on our platform. The Pillars address the needs of successful advisors by articulating our value-based solutions designed to drive business growth.

Dynasty Service Pillars

Community

The Dynasty Community reaffirms likeminded independent advisors and their teams that they are independent, but not alone. You become connected to a powerful collaborative Network.

  • Annual Partners Summit
  • Investments Forum
  • Podcast series
  • Dynasty Days
  • Dynasty Social Network

Technology

The Dynasty Technology platform provides a comprehensive set of integrated tools and capabilities that enable high-performing advisory firms to effectively and efficiently grow their business and service clients. You can tap into a dynamic infrastructure of institutional quality.

  • Dynasty Desktop
  • Dynasty CRM
  • Digital Client Experience
  • Strategic Consulting

Finance

Dynasty Finance and the Finance Pillar empowers an RIA to effectively manage its financial risks with complete confidence in the reporting. We offer you strategic planning, tax and audit-ready books and records, liquidity analysis and institutionalized financial reporting.

  • Business Analytics
  • Annual Budgeting & Interval Forecasting
  • Outsourced Bookkeeping
  • Financial Platform Administration & Support

Investments / Operations

Dynasty Investments provides the research, tools, technology, manager access, and operations and compliance support for an RIA to offer its clients highly professional and scalable investment solutions. Our investment platform provides comprehensive support whether you choose to manage your own portfolio or outsource to our OCIO.

  • Investment Research & Consulting
  • Investment Platform Access
  • Billing / Trading / Operational Support
  • Capital Markets & Investment Banking

Marketing

Dynasty Marketing fully prepares an RIA to strategically manage its brand for communication with clients, partners, prospects, its community and the media. This includes a robust strategy for managing your branding, PR, client experience and digital presence -- all aligned with your business goals and overall marketing objectives.

  • Brand Marketing & Strategy
  • Public Relations
  • Client Experience
  • Digital Marketing

Compliance

Dynasty Compliance will provide the legal and compliance support for an RIA – from the set-up of a new RIA to the training of a designated CCO. We’ll give you the compliance guidance and ongoing support to enable you to successfully operate in conformance with regulatory requirements.

  • Breakaway & RIA Registration Strategy
  • Compliance Program Design & Implementation
  • CCO Education
  • Network Compliance Support

Practice Management

Dynasty Practice Management shares the responsibility of managing an RIA across all aspects of the business. Our senior Relationship Management teams leverage their combined expertise to co-design and execute on your annual business plan, while carefully selecting appropriate resources to help you achieve optimal results and growth.

  • Dedicated Relationship Manager
  • M&A
  • Implementation & Transition services
  • Capital Strategies
Dynasty Community

The Dynasty Community reaffirms likeminded independent advisors and their teams that they are independent, but not alone. You become connected to a powerful collaborative Network.

  • Annual Partners Summit / Investments Forum
  • Regional LIVE! Events
  • D:Talks
  • Dynasty Social Network
Dynasty Technology

The Dynasty Technology platform provides a comprehensive set of integrated tools and capabilities that enable high-performing advisory firms to effectively and efficiently grow their business and service clients. You can tap into a dynamic infrastructure of institutional quality.

  • Dynasty Desktop
  • Advisor Platform
  • Dynasty CRM
  • Digital Strategy
Dynasty Finance

Dynasty Finance and the Finance Pillar empowers an RIA to effectively manage its financial risks with complete confidence in the reporting. We offer you strategic planning, tax and audit-ready books and records, liquidity analysis and institutionalized financial reporting.

  • P&L/Budgeting & Capital Sourcing
  • Outsourced Bookkeeping
  • M&A
  • Consulting & Structuring
Dynasty Investment/Operations

Dynasty Investments provides the research, tools, technology, manager access, and operations and compliance support for an RIA to offer its clients highly professional and scalable investment solutions. Our investment platform provides comprehensive support whether you choose to manage your own portfolio or outsource to our OCIO.

  • Investment Research & Consulting
  • Research Center & Analytical Tools
  • Dynasty TAMP
  • Capital Markets & Investment Banking
Dynasty Marketing

Dynasty Marketing fully prepares an RIA to strategically manage its brand for communication with clients, partners, prospects, its community and the media. This includes a robust strategy for managing your branding, PR, client experience and digital presence -- all aligned with your business goals and overall marketing objectives.

  • Brand & Marketing Strategy
  • Public Relations
  • Client Experience
  • Digital Marketing
Dynasty Compliance

Dynasty Compliance will provide the legal and compliance support for an RIA – from the set-up of a new RIA to the training of a designated CCO. We’ll give you the compliance guidance and ongoing support to enable you to successfully operate in conformance with regulatory requirements.

  • Legal Structure & Governance
  • RIA Registration & Licensing
  • Compliance Services
  • Network Compliance Support
Dynasty Practice Management

Dynasty Practice Management shares the responsibility of managing an RIA across all aspects of the business. Our senior Relationship Management teams leverage their combined expertise to co-design and execute on your annual business plan, while carefully selecting appropriate resources to help you achieve optimal results and growth.

  • Dedicated Relationship Manager
  • Business Design & Consulting
  • Implementation & Transition Services
  • Business Operations

First-Year Timing

While every situation is unique, experience has taught us how to apply best practices against a calendar to formulate a disciplined plan for launching an RIA on our platform. Here’s a typical breakdown of activities by quarter for the first year of engagement with Dynasty.

1st
quarter

Practice Management

  • Staff Reviews & Professional Development Plans
  • Client Value Prop

Marketing

  • Strategy & Budgeting

Finance

  • Partner K1s

Compliance

  • ADV & Brochures Updates
  • Review BD Licenses

2nd
quarter

Compliance

  • Annual Meeting
  • Review Operating Agreement

Investments & Operations

  • Annual Assessment

Practice Management

  • Review Business Insurance
  • Team Offsite

3rd
quarter

Technology

  • Tech Assessment
  • Vendor Diligence

Practice Management

  • Annual Benefit Selection & Review
  • Update Account Custody Pricing

4th
quarter

Practice Management

  • Annual Planning & Next Year's Priorities
  • Staff Needs & Comp Plan

Finance

  • Annual Budget & Forecasting
  • Review Economic Model

Community

  • Partners Summit

Capital

Strategies

Dynasty offers three ways to help RIAs in our Network access capital to help expand, scale, and grow their businesses.

The Dynasty Freedom Note
The Dynasty Revenue Participation Note
Flexible Financing Structures

Dynasty's vision is to power some of the largest RIA firms in the ongoing client and advisor migration to the independent advisory model. We are confident our Dynasty Capital Strategies initiatives will further fuel our clients in their various growth initiatives. We feel these flexible capital options are unique relative to what is in market today, and when combined with our broader platform give Dynasty-powered RIAs a competitive edge on building and scaling their businesses.

Permanent
Capital

Dynasty offers two forms of capital for advisors looking for diversification and generating liquidity from the ownership of their RIAs.

With the Dynasty Freedom Note, qualified advisors can choose to have up to 100% of their revenue paid to them as they transfer their business to independence with Dynasty’s support in exchange for an eight-year forgivable loan.

We also offer the Dynasty Revenue Participation Note (RPN) to provide liquidity without limiting management control. This financing option keeps a significant economic incentive in place for the RIA’s principals, while providing the flexibility to buy back the revenue interest at a fixed rate.

Credit
Capital

We offer flexible financing structures to fund RIA startup expenses, ongoing working capital, acquisitions, succession planning, and for other strategic, tax advantage and tactical reasons.

Permanent Capital

Dynasty offers two forms of capital for advisors looking for diversification and generating liquidity from the ownership of their RIAs.

With the Dynasty Freedom Note, qualified advisors can choose to have up to 100% of their revenue paid to them as they transfer their business to independence with Dynasty’s support in exchange for an eight-year forgivable loan.

We also offer the Dynasty Revenue Participation Note (RPN) to provide liquidity without limiting management control. This financing option keeps a significant economic incentive in place for the RIA’s principals, while providing the flexibility to buy back the revenue interest at a fixed rate.

Credit Capital

We offer flexible financing structures to fund RIA startup expenses, ongoing working capital, acquisitions, succession planning, and for other strategic, tax advantage and tactical reasons.

Dynasty Connect

Strategic acquisition can be a critical component of sustaining and growing an RIA. Reasons to merge or acquire may include the aging of a principal, the costs of complying with regulations, or the need to stay current with tech advancement and to adjust to clients’ digital behavior. There’s also great demand for recruiting wealth management against a narrowing supply of advisory talent.

Based on the size and scale of an RIA, as well as its needs and objectives, Dynasty’s dedicated M&A team undertakes a five-step process to help activate one of three solutions for firms looking to grow through a non-organic transaction.

The three solutions include: Strategic Partnerships, Joint Ventures, and Platform Solutions. Current Dynasty Network firms have taken advantage of each of these solutions with clear success. The five-step process includes:

Network |Firm Evaluation

Business Valuation & |Capitalization Strategies

Disciplined Prospecting & |Recruiting Strategy

Firm Due Diligence |& Engagement

Transition & |Integration

Ben Bines, Senior Vice President of Network Development, Eastern Division

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All information is kept strictly confidential.