Associate Advisor

We are a client-focused, boutique financial advisory firm located in Annapolis. Since our founding in 2009, we've been dedicated to helping individuals and families build, manage, and preserve their wealth. Our team provides personalized financial planning, investment management, and retirement strategies tailored to each client's unique needs. We're passionate about building lasting relationships and helping clients feel confident in their financial decisions. By simplifying the complex and focusing on what truly matters, we guide clients through every stage of their financial journey. Our team truly enjoys working together and takes pride in supporting one another to create an exceptional experience for both our clients and one another.

Our firm is looking for an Associate Advisor to support our advisory team, our clients, and our continued growth. In this role, you'll work alongside our two Financial Advisors, learning from them and engaging in several key functions, including data collection and analysis, drafting financial planning recommendations, implementation, and handling complex case research and resolution. You will also take on responsibilities related to scheduling, paperwork, reporting, meeting preparation, client service, and anything else that may help to move the business forward. You have a solid understanding of financial concepts, a strong sense of integrity, and a genuine desire to support the people around you. You are someone who can take ownership of your work without needing constant oversight, and you follow through on what you say you will do. You are comfortable picking up the phone to help a client, and you approach each interaction with care and confidence. You enjoy structure and well-designed processes, and you naturally look for ways to make things run more smoothly. With a few years of experience already, you know this field is the right fit for you, and you're excited to keep growing and transition to becoming the main point of contact for a select subset of clients within 6-12 months.

Responsibilities & Activities

• Support advisory team with preparation of well-polished documentation and presentation materials for meetings
• Attend and participate in meetings with prospects and existing clients
• Review and organize meeting notes; document topics covered, client updates, and action items; enter and schedule tasks in the CRM; and complete all follow up items using firm procedures
• Communicate and follow up regularly with clients, building strong relationships; respond promptly to service requests, troubleshoot issues, and provide clear, effective solutions
• Coordinate the development and ongoing maintenance of financial plans, including initial data entry, research on planning topics, creation of recommendations, and continuous plan monitoring and updates
• Execute intra-day requests such as trades, wires, and journals with precision and within strict deadlines, ensuring proper initiation, review, approval, completion, and proactive communication with clients
• Provide operations and service overflow support, including answering phones, opening new accounts, processing applications, managing asset transfers, and assisting the advisory team to deliver an excellent client experience
• Prepare client reports, financial forecasts, cash flow projections, and goal-based projections
• Research complex client situations, set clear expectations, and outline the steps needed to resolve inquiries promptly
• Continuously monitor client data across various platforms for accuracy and continuity

• Bachelor's degree required, preferably in finance, financial planning, or a related field
• 1-3 years of progressive experience in the wealth management industry, supporting one or more Financial Advisors required
• Series 65 or 66 and Series 7 or 6 required
• Life, Health, and Long-Term Care insurance license highly preferred, or willingness to obtain within 90 days
• CFP designation preferred, or desire to obtain
• Exceptional written and verbal communication skills
• Highly attuned to client preferences and able to recall personal details that enhance the client relationship
• Knowledge of industry-specific software required; familiarity with Redtail, eMoney, MoneyGuidePro, and Redtail preferred
• Strong technology skills and proficiency in Microsoft Office Suite (Word, Excel, Outlook, PowerPoint) required
• High level of professionalism and confidentiality, with a strong attention to detail
• Highly organized and adaptable, with the ability to multitask and shift between responsibilities throughout the day
• Superior phone skills; friendly and helpful in all interactions on the phone
• Ability to prioritize and solve problems while maintaining composure and focus
• Attendance is an essential function

• Competitive base compensation of $70K-$85K, depending on experience
• Bonus potential based on individual and firm performance
• 401(k) with company match, and annual profit sharing
• Paid time off and holidays
• A collaborative and professional work environment
• Opportunities for growth and continued learning in the financial services industry