Welcome to the FFM Advisor Group.

This is our information center for investment professionals.

Most security industry professionals work for a Broker / Dealer. As such, you studied and crammed to pass the S7 and in Texas, the S63. Most of us would not willingly want to go through that again - but more about that later.

This section is devoted to the “other” way to trade securities and provides investment services to your clients.

FFM Advisor Group is a Registered Investment Adviser in Texas and New York. An RIA usually provides investment advice to clients through Registered Investment Adviser Representatives. The easiest way to become an IAR is to pass the S65. The more common method is to have the S7 and the S66. 

So enough about the licensing. What are the pros and cons of this form of business? Simply stated, a sale made through a BD pays a commission for each transaction. ALL business done through a RIA is done on a fee basis. The BD pays whenever you do a trade – but ONLY when you do a trade. The fee from an RIA is paid every year for as long as the account has assets AND it is based on the value of the account. If your account management skills cause the account to grow, you earn a larger fee.

Did I mention that any type of advisor accepting a commission for securities business must be licensed through a broker-dealer with FINRA*. However, by dealing through a RIA there is NO association with FINRA*, and you do not need a broker dealer. Regulation and oversight is provided by the State of Texas.

* Created in July 2007 through the consolidation of NASD and the member regulation, enforcement and arbitration functions of the New York Stock Exchange

Quality of Life

If you have seen any movies about Wall Street and our industry, you know that there can be more then a little pressure and stress. If you have ever had an uncomfortable conversation with your sales manager about why you are not making him more money, then you will appreciate our way of doing business.

If you visit our office, you will realize that there is a much lower chance of being the victim of “Road Rage”. We are not downtown and we have four main highways that can get you here.

Do you need to vent from time to time? Take a walk around the lake in our backyard.

Upset with someone, go upstairs and punch out the heavy bag or lift some weights in our workout center.

We know that there are things more important then money.  Our goal is to help you be more productive while allowing you to live a better and less stressful life.

Show Me The Money !

We also know that you need to be able to make money – much more rather then less. At our firm, you are not required or even requested to sell some in-house product. We offer almost all of the mainstream investments. As mentioned on the “public” page, we also co-sponsor programs with Southwest Securities.

Selling through a RIA allows you to build a portfolio for your client that matches their objectives and risk tolerances. Once the account is established, it is up to you to make the decisions on how to reach the stated goals. Since all accounts with FFM

Advisor Group are discretionary, you can move quickly to capitalize on market changes. In addition, there are no ticket charges for our accounts so the maximum use is made of your clients’ investment assets.

Managed accounts have a maximum annual fee of 2% at this time. This fee is calculated at the end of every quarter based on the value of the account on the last trading day. With FFM Advisor Group, your payout starts at 60% and can increase based on the total amount of your assets. Best of all, the fees are paid for as long as there are assets in the account.

For example, your first $1M under management might generate -

            Gross fee       $20,000

Net fee           $17,500          (after Southwest Securities charge)

For You          $10,500

At $10M under management, this is where you might be -

            Gross fee       $175,000

            Net fee           $150,000       (after Southwest Securities charge)

            For you          $  90,000 - $105,000

This is an income stream that pays year after year after year.

Now while you are building your assets under management, you might want to eat, keep your house and have some fun. It is a good thing that our sister companies, Fox Financial Management and the North Texas Insurance Group are located in our same building. Details about them are available on their sections of the web site.

What About Me – I Want To Sell For You 

In the beginning of this section, I briefly covered the requirements to do business through a RIA. I want to be somewhat more specific since you do not have to pass a securities exam to work with us. In Texas all of the following can sell through a RIA -

• a person who was registered as an investment adviser or investment adviser representative on or before December 31, 1999, provided the person has maintained a registration as an investment adviser or investment adviser representative with any state securities administrator that has not lapsed for more than two years from the date of the last registration;

• applicants who are certified by the CFA Institute, or its predecessors, the Association for Investment Management and Research, the Financial Analysts Federation, or the Institute of Chartered Financial Analysts, to be chartered financial analysts (CFA);

• applicants who are certified by the Certified Financial Planner Board of Standards, Inc., to use the mark "Certified Financial Planner" (CFP);

• applicants who are designated by the American Institute of Certified Public Accountants as accredited personal financial specialists (PFS);

• applicants who are designated by the Investment Counsel Association of America, Inc., as Chartered Investment Counsel (CIC);

• applicants who are designated by the American College, Bryn Mawr, Pennsylvania, as Chartered Financial Consultants (ChFC);

We want to build our business by adding some quality people. If you have liked what you read and would like to visit with us and get some more information, then either call us at: 972-428-5000 x211  or .

We look forward to hearing from you.