Associate Advisor - Wealth Management

Job Description

Job Description

We are a long-established, independent wealth management firm located in Warwick, RI, with more than 40 years of history serving individuals and families. As a dually registered Registered Investment Advisor and Broker Dealer, we take a comprehensive, relationship-focused approach to financial planning, helping clients create, conserve, and ultimately transfer their wealth. Many of the families we serve have been with the firm for years and span multiple generations, allowing us to build relationships that extend well beyond investments. Just as importantly, we have built an experienced, close-knit team, with several members having spent many years with the firm. We genuinely enjoy working together, value each person’s contribution, and believe that providing exceptional service starts with having a team that is collaborative, dependable, and truly cares about the people we serve.

As we continue to grow, we are seeking a Associate Advisor to join our team and become an important part of the future of the firm. This is not a business development role where you will be expected to arrive with a book of business or spend your time prospecting. Instead, you will step into a practice with established client relationships and a consistent flow of new opportunities. The goal of this role is to support the Principal Advisor and her clients with financial planning, client meetings, reporting, and ongoing service, while also taking the lead on a subset of existing client relationships that will transition to you over time. You will also work with new clients coming to the firm. With a dedicated and experienced support team, you will have the opportunity to focus on what you do best: building trusted relationships, providing thoughtful financial guidance, and helping clients navigate important financial decisions.

Responsibilities

• Support the Principal Advisor with ongoing client relationships, including meeting preparation, financial planning, research, presentation materials, and follow up.
• As relationships transition, assume primary responsibility for a subset of existing clients, independently leading meetings, providing financial guidance, and serving as their primary point of contact.
• Work with new clients coming to the firm to understand their needs, develop recommendations, and establish long-term relationships.
• Develop, analyze, and maintain comprehensive financial plans addressing retirement, cash flow, investments, insurance, tax, and estate planning considerations.
• Prepare client reports, financial summaries, and presentation materials to support planning conversations and recommendations.
• Proactively respond to client questions and service needs, maintain accurate information within Redtail CRM, and ensure follow-up items are completed accurately and timely.
• Partner with the investment management, client service, and operations teams on portfolio recommendations, account activity, new accounts, transfers, distributions, and other client needs.
• Maintain compliance with SEC and FINRA regulations, Broker Dealer requirements, and firm policies and procedures.
• Develop strong proficiency in the firm’s technology and collaborate with the broader team to continually improve the planning process and overall client experience.

Knowledge, Skills, & Abilities

• Bachelor’s degree required, preferably in finance, financial planning, economics, accounting, or a related field.
• Minimum 3 years’ experience managing client relationships in a financial planning or wealth management capacity.
• Series 7 or 6 and Series 66 (or equivalent Series 63 and 65) required.
• CFP designation highly preferred; candidates actively progressing toward CFP certification will also be considered.
• Experience developing financial plans and translating complex financial information into thoughtful, understandable recommendations.
• Confidence managing client conversations and relationships independently, with a genuine desire to get to know and care for clients and their families.
• A proactive, self-directed, and organized approach with strong ownership and follow-through.
• Tech-savvy with a genuine interest in learning and maximizing new tools; experience with Redtail, eMoney, Jump AI, or Advicent Profiles is a plus.
• A collaborative mindset and appreciation for working as part of a small, experienced team.

Compensation & Benefits

This is a full-time, W-2 position with a base salary range of $100,000-$130,000, commensurate with experience, licensing, and designations. Benefits include bonus opportunity, medical, dental, and vision insurance, 401(k) with Safe Harbor contributions and profit sharing, paid time off, paid holidays, and more.