The ASN Platform

Today’s regulatory environment requires investment professionals to spend a substantial amount of time on administrative, service, operational, compliance, and regulatory matters which, while clearly essential, distract from what’s important, serving their clients.

Advisory Services Network, LLC (“ASN”) provides an open architecture all-inclusive platform that gives you the freedom to choose from a wide array of investment advisory products, programs, and money managers. ASN allows its investment professionals to focus on what they do best… develop, strengthen, manage and grow their client base.

The Platform includes:

  • ASN Platform Pricing Advantages
  • Self Branding as a Member of ASN
  • Portfolio Management Flexibility
  • Dedicated Transition Team
  • Choice of Custodial Relationships
  • Experienced Service Teams
  • Custodial Interface
  • Operational Support
  • Performance Software
  • Client Billing
  • E & O Insurance
  • ERISA/Fidelity Bond
  • Regulatory & Compliance Oversight
  • Registration & Licensing
  • Network & System Integration
  • Email Review & Retention
  • CRM (Integrated)
  • Electronic Filing System
  • Marketing & Advertising Support
  • Due Diligence
  • Succession Planning
  • Self Branded Website Availability
  • Human Resources and Benefits through TRINET
  • Mock Audits / Office Reviews
  • Compliance Updates
  • Access to Financial Planning Tools and Research**


The management and staff of ASN proudly support investment professionals who wish to continue their broker/dealer registration by maintaining relationships with broker/dealers who permit the use of our advisory platform without haircuts or penalties. Through our affiliate, Mainstay Capital Markets Consultants, Inc., ASN also supports those investment professionals and offices who wish to ultimately create their own registered investment advisory firms.