Pay: $60,000–$90,000 base plus commission (client AUM / advisory fees).
SimpleWEALTH is a growing private wealth advisory firm, based in Garden City, NY, built for advisors who want to serve sophisticated clients across the full spectrum of wealth management. We currently focus on comprehensive advisory for high-net-worth and ultra-high-net-worth clients including business owners, multi-generational families, and clients navigating liquidity events, with capabilities spanning investment management, tax-aware planning, estate and succession coordination, private market access, and a full traditional public-markets platform.
This is an opportunity to help build a wealth advisory practice early, with flexibility to grow AUM across the full client spectrum, supported by firm-funded growth and long-term expansion plans.
Responsibilities
- Serve as the lead fiduciary advisor for a book of high-net-worth and ultra-high-net-worth clients
- Develop new business relationships with business owners, families, post-liquidity clients, and centers of influence
- Build and manage comprehensive wealth plans spanning investment management, tax-aware planning, and estate and succession coordination
- Position and allocate across the full platform including public equities, fixed income, structured products, and private markets such as private credit, real estate, and alternative strategies
- Coordinate pre- and post-liquidity planning for business owners approaching a sale
- Deliver ongoing client education and proactive communication on markets, planning strategies, and portfolio positioning
- Coordinate with SimpleWEALTH planning colleagues and, where appropriate, client-engaged outside tax, estate, and insurance professionals (no requirement to work for or sell products of other companies).
- Drive organic growth supported by firm-funded lead generation, events, and marketing
- Maintain accurate records in the firm's CRM and planning systems
- Maintain full compliance with SEC, firm, and fiduciary standards across all client activity
SimpleWEALTH is an equal opportunity employer. Not an offer of employment.
Requirements
- Active Series 65 (or Series 7 + 66), or other qualification accepted for Investment Adviser Representative registration in New York; must be eligible to register as an IAR of SimpleWEALTH before providing investment advice.
- Title "Wealth Advisor" is for registered IARs only; unregistered candidates will not advise clients under that title.
- Minimum 5 years of experience as a wealth advisor, financial advisor, or private wealth professional with a demonstrated record of production
- A portable book of business and established high-net-worth or business-owner relationships preferred
- Clean regulatory and compliance record with no material U4 or U5 disclosures
- Strong working knowledge of advanced planning concepts including tax-efficient exit structuring, trust and estate strategies, and alternative investments
- Demonstrated ability to hold a sophisticated conversation with business owners and their tax and legal advisors
- Proficiency with CRM and financial planning platforms and a comfort with technology-enabled workflows
- Ability to manage a book independently while coordinating with internal service and planning teams
- Entrepreneurial, builder mindset motivated to grow a practice rather than maintain one
- Bachelor's degree required; experience serving business owners through liquidity events a plus