How Breakaway RIAs Benefit By Working with Halo Investing



The RIA model has many advantages. Most notably the flexibility provided when considering marketing, branding, financial products, and technologies. The growing demand for advisor independence is just one leg of a secular rotation away from conventional schools of thought and tools of money management. Advisors are increasingly working with financial partners to move away from the rat-race of chasing returns and gravitating to relationships that can help generate unique and nuanced ways to preserve and enhance accumulated financial gains.

As a breakaway RIA, you want to differentiate yourself from the herd. Investment management is a key facet of financial planning, and today’s environment of ultra-low bond yields and very high stock market valuations might have you wondering what you can do to better your clients’ financial prospects.


Efficiency Through Specialization

To drive efficiency, advisors are increasingly turning to outsourced services for a variety of investment and administrative functions. We see this in the rise of investment platforms (especially alternative investments) and, in the case of Halo’s platform, protective investments, as well as numerous recently announced strategic ventures.1

As an independent Registered Investment Advisor (RIA), you likely find yourself wearing many hats. One minute you’re explaining the effects of inflation; next, you’re working with compliance or talking a client down from the ledge. Sometimes it can feel like more than one person can handle—because it is!

To reclaim some of this time and focus on higher value-add activities, outsourcing certain activities presents an ideal way to leverage others’ specialized knowledge and capabilities.

By outsourcing certain aspects of their business, independent RIAs in particular can spend more time cultivating client relationships or developing a unique value proposition.

Halo can serve as a resource for creating defined outcome strategies and other protective investment strategies. Our investment solutions can augment a fixed-income portfolio with a potentially higher yield at a reasonable cost.

Think of us as providing value not just in the products and services listed on our website, but also as a sounding board for new investing ideas in this complex and constantly-evolving financial world. Our team is centered on continuously finding ways to help investors and advisors—and they are here to help you.



Separating From the Pack

Defined outcome strategies and protective investments help separate you from other advisors, especially those at the big broker-dealers who can only offer cookie-cutter portfolios. Halo Investing’s competitive and transparent marketplace offers structured notes at a fair price. Secondly, Halo offers advisors defined-outcome and buffered ETFs. Thirdly, as an Outsourced Insurance Desk (OID), you as the advisor can more efficiently purchase and manage annuities through Halo without the burden of additional professional licensing.


Halo Is Truly Independent

Halo stands out from our competitors, and our goal is to help breakaway RIAs stand out from the crowd, too. While other companies are entities of large banks (which can influence the products and services they offer), Halo is independent. It is our goal to work in your best interests. This is a critical advantage for breakaway RIAs when doing business with Halo.


Unique Investment Solutions

Today’s markets demand innovative solutions and creative strategies. Just look at the latest capital market projections from firms like AQR and Vanguard Group: the typical 60/40 portfolio is forecast to endure historically weak total returns in the coming decade, and inflation will take an even bigger bite out of the 60/40.

The upshot for independent advisors? You have the opportunity to offer clients a better choice using defined-outcome and protective investments through Halo. Breakaway RIAs working with Halo can differentiate themselves and market to prospective clients much more effectively, as opposed to simply pitching the usual stock and bond fund portfolios.

Our platform gives financial advisors flexible access to protective investments so you can give your clients the products and solutions they need to reach their financial objectives. Don’t just react to the market—define the future for your clients and your practice. You can deepen your practice using Halo’s specialized tools and knowledge.


Outsourcing: An Emerging Trend

Outsourcing can also save you time and energy. But don’t take our word for it: a recent RIA Intel article underscores the prevailing trend of RIAs leveraging niche service providers. Today’s advisor should focus on relationship management and less on knowing every last detail of an investment product. You can leave the nitty-gritty of protective investing evaluation to Halo while you connect with your clients.

A key feature of working with Halo comes through our OID. Compared to our competitors, Halo is unique in that we are our own broker-dealer when it comes to annuity offerings. We have subject matter experts on hand to work in the best interests of you and your clients. Consider Halo to be the trusted advisor for advisors.

Outsourcing is a top trend for independent RIAs right now, and we believe that trend will continue in the years ahead. But it is imperative that you as the advisor work with a firm that is truly independent so you are confident that your clients are getting the absolute best services and products.


Trade Lifecycle Management: A Major Time-Saver

Another facet of the investment management process that causes headaches for advisors is trade lifecycle management. The back-end settlement process can be such a headache. The last thing advisors and investment managers want to deal with is a hiccup with paperwork or post-trade events.

Halo takes care of that dirty work! We handle all the settlement processes and requirements, while our platform allows advisors to keep track of everything using tools, reminders, and other features. This aspect of Halo Investing saves advisors serious amounts of time and energy.


Halo Helps with Inherited Books

Speaking of easing burdens, we help advisors when a book of business is inherited. Transitioning a portfolio coming from another advisor to your investment offerings can be tedious and complex. Halo handles the transition of existing annuities and other products to your strategies. Consider Halo as the solution for inherited books.



Halo’s platform is one of the few independent investment platform’s available today. Through our broker-dealer entity, we have the capability to make transactions go smoothly so you can simplify, grow, and expand your practice, while our OID arm streamlines the annuity purchase process. Halo Investing’s customized solutions help independent advisors stand out in today’s challenging investing environment.

1 “RIA Market Top Trends,” Envestnet, August 2021.

Halo Investing is not a broker/dealer. Securities offered through Halo Securities LLC, a SEC registered broker/dealer and member of FINRA/SIPC. Halo Securities LLC is affiliated with Halo Investing Insurance Services and Halo Investing. Halo Securities LLC acts solely as distributor/selling agent and is not the issuer or guarantor of any structured note products.