Firm Update: September 2023

Welcome to our September Broker-Dealer Newsletter. 

Below I would like to introduce GT Investment Management, our new RIA. Then, Michelle Mueller will provide compliance updates, and Zaya Bold will do so for collaboration.

To all of our success!

Introducing GT Investment Management

I am excited to announce the launch of our Registered Investment Advisory Firm – GT Investment Management LLC (CRD# 325619).

The goal of our RIA is to empower dually licensed investment advisors and investment bankers on our platform to offer clients the synergistic value-add of “business wealth plus personal wealth” advice and planning.

The firm has partnered with Charles Schwab and Amplify Technologies for secure, digital, and AI-driven client service and portfolio management.

For M&A advisory work, this might involve augmenting the traditional “prepare for sale” and transactional process with more involved personal tax and estate planning and scenario analyses.

Then, as business sales and M&A events are consummated – in partnership with skilled wealth managers and financial planners on our platform – to advise upon and manage the investment proceeds from the business liquidity event.

In the months to come, we are excited to connect with interested bankers to share and explore how to utilize the RIA structure as a powerful new client value-add and residual revenue stream.

Please visit gtria.com and / or reach out to Mr. Randy Fox, GT Investment Management’s COO, to learn more.

Platform Resources and Deals 

Referrals. Do you know an investment banker looking for the benefits of independence and  professionalism provided on the GT Securities platform? We are always interested in speaking to highly ethical and credentialed banking professionals to join our platform. Please reach out to me at [email protected] to learn more.

Zaya Bold, Director of Banking Partnerships

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