Advisor Resources

At Vanderbilt, our number one priority is our advisor’s success. While each advisor’s definition of success will be different, we can all agree that flexibility, focus, service and diversity are critical elements. Vanderbilt remains steadfast in its commitment to supporting our advisors through their transition into the firm, and on an ongoing basis with the most robust, technology enabled and impactful platform we can provide. With easy access to management and back-office support paired with access to a robust technology suite, Vanderbilt advisor partnerships offer tremendous value and results.

Open Architecture

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Transition Management

Consultative Compliance

Training and Education

Fidelity Clearing & Custody Services

In House Bond & Equity Desks

Vanderbilt Advisory & Insurance Services

Research & Insights Team

Access to Firm-Wide 1099 Health Insurance

Low Fee Structure, No Minimums or Quotas

Deep Experience with Business Owners & Entrepeneurs

Our Partners

To provide our advisors with the most up to date resources and tools, we have engaged with the following partners:

Innovative Platform

Our investment and due diligence teams are constantly at work engaging with advisors to ensure that we are bringing the most effective and efficient investment solutions to clients.

Our platform is also designed with ease of use in mind, integrating AI and focusing on the continuous growth of our investment universe, including our sustainable and impact solution set.

Consultative Compliance

Using Docupace’s intuitive and innovative processing system to submit business, compliance approval and subsequent turnaround is an extremely quick and easy process.

Our consultative compliance team is tasked with ensuring that each piece of business is handled with an individualized approach that meets our regulatory requirements and client needs and goals.

Training, Education & Technology

We provide training and education designed to keep our advisors operating on the cutting edge. With access to our robust technology suite, our advisors can participate in individual and team training on various topics, including:

One-on-One Coaching & Mentoring
Compliance Training Sessions
National Conferences
Product Education
Ongoing Professional Development

Back Office Support

Our experienced and hardworking team of professionals provide customized back-office support for each advisor, including assistance with day-to-day business processing, sales, and operational support.

Our team aids in speeding up processes that can be tedious, long, and bureaucratic at larger firms so that you can focus on what is really important — growing your business.

"I've had the pleasure of working with several members of the AAP at Vanderbilt, both during my transition to the firm nearly 18 months ago and during the second of 2023 to the present. Each member of the team brings world class customer service skills, technical proficiency and uniquely, a direct line to Operations. Rather than spending what could be years getting local staff sufficiently trained to handle all backoffice operations, I'd rather utilize my assigned member's years of industry experience and pay for it on an as needed basis. We set the budgeted hours monthly and it's roughly a ¼ of the cost of a fulltime employee."

"The Advisor Assistant Program is a perfect fit for me and provides a significant boost to my practice. I appreciate the team concept and focus on completing tasks. Also, their proximity to the home office increases efficiency a great deal. "

"The advisor assistant program is great. To have a knowledgeable person to handle my back office matters is invaluable. I been without an assistant for years because is it much too difficult to train. My dedicated Advisor Support Representative (ADR) hit the ground running without me having to teach. When my dedicated ASR is unavailable, another ASR reaches out to notify me and offer their help in the ASRs absence. If anyone is "on the fence" trying to decide whether to use the program, they need to call me. It has made my quality of life at the office incredibly better. I have time to manage money vs worrying about paperwork. Thank you, thank you, thank you. The Director of Onboarding & Advisor Relationships introduced me to her team and assisted in who would be a good fit for me. Through the recruiting process and onboarding she quickly learned my weakness and picked the perfect person to help me."

"Working with my dedicated Advisor Support Representative and the rest of the team supporting the Advisor Assistant Program. My dedicated ASR is very thorough. Excellent communication and updates as he works through tasks. If he’s out, I always get checked in with to see if I need anything. Great ability to get stuff done with Vanderbilt as well."

"Vanderbilt has been very supportive of my transition throughout the process. What seemed like an overwhelmingly large task has become more manageable thanks to the Advisor Assistant Program. The Advisor Support Representatives supporting the Advisor Assistant Program are absolutely wonderful!“

The Vanderbilt Concierge Assistant Program(VCAP), is designed to help you save time so you can focus on driving the success of your book.

The Vanderbilt Concierge Assistant Program empowers you to choose where to direct your time, whether it’s towards expanding your business, concentrating on investment management, or enhancing the client experience. Ultimately, this program returns the value of time to you at its essence.

Incorporating an entrepreneurial approach by utilizing a team of VFG-trained virtual assistants who can directly engage with your clients, managing administrative tasks, and collaborating closely with the back office on business processing, creates a mutually beneficial situation. We take care of the “busy work” while you concentrate on what matters most to you.

WHAT WE DO

• Complete and Submit Paperwork to Operations for All VFG Related Business

• Communication with Vendors on the Advisor’s Behalf

• Followup with the Operations Department

• Submissions for Compliance Review

• Reinforce Internal Announcements

• Account Maintenance

• Interactions with Client

• Maintain Redtail CRM

• Marketing Campaigns

WHAT WE DON’T DO

• Place Trades

• Make Investment Decisions

• Work-related to Outside Business Activities

• Attend Meetings on Behalf of the Financial Professional

• Answer emails/phone calls on behalf of the Financial Professional

• Manage Your Calendar/Set Appointments

A Word (or Two) About Transitions

Transitioning to a new firm is a big step. At Vanderbilt, we are laser-focused on ensuring the transitioning process is as frictionless as possible, with personalized support and a dedicated team to guide you through the transitioning of your client accounts.

Our goal is to have you return to servicing your clients as quickly as possible, and to support your vision for the future.

Transition support includes:

Dedicated Transition Manager
Oversight of all transition documents processed & submitted by the transition team
Individual training and support on Docupace & Docusign platforms
Timely follow up with product companies for quick turnaround
Electronically prepared forms
Daily and/or weekly transition updates
Signature prompts to ensure forms are submitted
Comfort in knowing you have Vanderbilt on your side!

"My transition with Vanderbilt Financial Group was the smoothest I have ever been through. The service I received during my transition was more than I ever expected. The 6 weeks of check-in's were extremely helpful to keep me on track. Vanderbilt made a normally painful experience a smooth one. I am so welcome and comfortable reaching reach out with questions and feedback without hesitation. Heads above my experience with prior broker/dealers. I attend many Town Halls and finds the useful and tells friends about Vanderbilt!"

"I am very grateful for the support that has been provided to me while learning the ropes at Vanderbilt. There is so much to learn, and there is a wonderful strong team to help me with this transition. It's been about a month and l've learned new systems, new ways of submitting business, and many other things in a short period of time. Both Theresa's, Katie and Nadiyah have been in my corner every step of the way!"

"We recently contracted with Vanderbilt Securities as our new broker dealer. Since we have made a similar broker dealer change in the past, we have a good reference point to compare our experience. The transition with Vanderbilt has been exceptional. Their approach has been very professional. They assigned a transition representative who coordinates with the various departments within Vanderbilt to ensure that the transition process is moving forward in all phases. Most importantly their systems keep you advised and updated throughout the process. And I can't say enough about their quick response time in dealing with any issues that need attention. Overall, our experience with Vanderbilt has been extremely pleasant, and I would highly recommend them as an asset and a strong partner to your business."

Join Our Community

We welcome advisors and clients to come visit us, to speak with our team and to learn more about what makes Vanderbilt such a unique community.