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Whether you’re an Investment Advisory Representative (IAR) seeking a dynamic platform or a firm exploring merger opportunities, Rothschild Wealth Partners™ offers a path to growth.
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Benefits of Joining Rothschild Wealth Partners™

Founded in 1908, Rothschild Wealth Partners™ has an RIA and Hybrid Broker-Dealer/RIA with over $7B in AUA – spanning Advisory, Brokerage, and 401(k) Plans. At Rothschild, our success is dependent on yours. We blend the independence of a boutique advisory model with the strength of centralized support. Our structure allows advisors to focus on client service while leveraging firm-wide resources.

Unlike many Broker-Dealers and RIAs, we don’t ask you to fit into our model—we work around your approach.

We don’t impose a centralized investment model. Advisors maintain the autonomy to follow their core investment approach, provided it aligns with fiduciary standards. For those who want to streamline, Rothschild offers model portfolios and access to a deep bench of investment expertise.

Full service back-office and administrative infrastructure are built to support growth—compliance, trading, tech stack, operations, client portfolio case design, reporting, meeting prep, etc.

Work independently while tapping into firm-wide expertise: Insurance, Estate Planning, Tax Planning, Alternatives, Cash Flow Modeling, Financial Planning, Business Exit Planning, etc. to best serve your clients and maximize the revenue of your business.

Established, healthy relationships with Schwab, Fidelity/NFS, and Pershing.

Attractive revenue model for Advisors, cash buyout (if applicable), cash transition assistance, & equity in a growing firm. Unique ability to retain enterprise value within your practice, while also building wealth through equity in the larger Rothschild firm.

Rothschild offers attractive succession plans—cash buyout and hand selected Advisors—to carry on a retiring Advisor’s legacy and serve their clients. For Advisor’s looking to grow and scale, we have the ability to finance books you are
looking to acquire, as well as match you with a retiring Advisor.

As Advisors/Teams reach capacity, Rothschild will invest in additional team members for you: Jr. Advisor, Financial Planning Analyst, Dedicated Operation Personal, etc.

Comprehensive Benefit Package: Health, Vision, Dental, 401(k), etc.

Work and meet clients where most convenient. Class A offices in Chicago Loop, Oak Brook, and Northbrook. Potential to keep your current office space and Rothschild assumes the rent.

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What Sets Rothschild Apart

We’ve built our firm around what advisors truly need to succeed. Unlike traditional firms that force you to adapt to their constraints, we provide the independence and support that empowers you to serve your clients your way. Here’s how we compare:

Rothschild

  • True Independence
  • Custodian/Platform Agnostic
  • Economics & Equity
  • Agreeable Employment Agreements & View on Client Ownership
  • Collaborative Culture

Other Firms

  • Forces you to adopt their pre-built models and limits investment products Advisor’s can use
  • Often forced to use high priced platforms
  • Inability to be a true partner in the firm and restrictive economics
  • Restrictive employment agreements and firm views on client ownership
  • Silo Approach or Forced Adaptation

Rothschild

Other Firms

True Independence

Forces you to adopt their pre-built models and limits investment products Advisor’s can use

Custodian/Platform Agnostic

Often forced to use high priced platforms

Economics & Equity

Inability to be a true partner in the firm and restrictive economics

Agreeable Employment Agreements & View on Client Ownership

Restrictive employment agreements and firm views on client ownership

Collaborative Culture

Silo Approach or Forced Adaptation

Recent Partnerships, Current LOIs, & Interest

At Rothschild, we blend the independence of a boutique advisory model with the strength of centralized support. Our structure allows advisors to focus on client service while leveraging firm-wide resources

Hybrid RIA/BD​

  • AUM: $1.2B
  • Advisory Type: Liquidity, Future Succession, Growth
  • No. of Advisors: 7
  • Non-Advisor Staff to Join Rothschild: 6
  • Feebased vs. Brokerage: 25% / 75%
  • Client Base: Ultra HNW & HNW
  • Advisor Expertise: Many

Majority owner is looking for liquidity, a firm they believe will best serve their clients, and provide scalable growth opportunities for other advisors in the firm. The owner was also attracted to a majority upfront cash buyout and immediate equity partnership (that owner can keep and/or distribute to the other Advisors joining Rothschild).

1

Hybrid RIA/BD

  • AUM: $250M
  • Advisory Type: Breakaway from larger team
  • No. of Advisors: 1
  • Non-Advisor Staff to Join Rothschild: 0
  • Feebased vs. Brokerage: 90% / 10%
  • Client Base: HNW & Mass Affluent
  • Advisor Expertise: CFA, CFP

Advisor (early 30s) is on a $1.4B team and has no ability to grow, scale, or create enterprise value. After performing due diligence on several firms, this Advisor is attracted to Rothschild’s open architecture, payout grid, support staff, path to equity partnership, and potential to partner with a retiring Advisor.

2

RIA—Fee Only

  • AUM: $300M
  • Advisory Type: Liquidity, Future Succession, Growth
  • No. of Advisors: 1
  • Non-Advisor Staff to Join Rothschild: 1
  • Feebased vs. Brokerage: 100% Fee
  • Client Base: HNW
  • Advisor Expertise: CFA

Advisor wanted to shed the nuances of running their own RIA, get an upfront cash payment, continue to work for 2-7 years at an attractive payout grid, continue to manage their clients the way they always have, and have Rothschild work with them to find the perfect successor for their business/clients.

3

Insurance & Fee Based

  • AUM: $40M Heavy Insurance
  • Advisory Type: Better serve clients
  • No. of Advisors: 1
  • Non-Advisor Staff to Join Rothschild: 3
  • Feebased vs. Brokerage: Fee Based & $2M/Yr Insurance
  • Client Base: Insurance Clients
  • Advisor Expertise: Insurance

Advisor was looking for a firm that could help them maximize the value of their insurance business by also serving their HNW clients with financial planning and investing. The Advisor was attracted to Rothschild due to their ability to continue doing insurance while leveraging Rothschild’s Advisors to better serve their clients’ investing needs.

4

Wire House

  • AUM: $350M
  • Advisory Type: Breakway
  • No. of Advisors: 1
  • Non-Advisor Staff to Join Rothschild: 2
  • Feebased vs. Brokerage: 80% Fee / 20% Brokerage
  • Client Base: Ultra & HNW
  • Advisor Expertise: Planning Rep as PM
Advisor wanted a firm that didn’t gate the investments they could use for clients, force them to cross sell other bank products, and offered a higher payout grid. The Advisor was attracted to the upfront payment (they chose majority equity and some cash) and ability to continue to manage their business in the same manner they always have.

5

National IBD

  • AUM: $450M
  • Advisory Type: Liftout for true independence
  • No. of Advisors: 2
  • Non-Advisor Staff to Join Rothschild: 3
  • Feebased vs. Brokerage: 75% Fee / 25% BD
  • Client Base: HNW & Mass Affluent
  • Advisor Expertise: Planning & Growth
Advisor was unhappy being forced (via BD acquisition) to join a different IBD and was unhappy with the platform fees they charged and the gated product availability. Moving to Rothschild allows them to shed the nuances/costs of running a business and focus solely on growing their book.

6

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Ready to take the next step in your career or discuss a potential merger? We’re excited to hear from you. Reach out to our team to explore how we can grow together and make a lasting impact on our clients’ financial lives.

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