Servicing Financial Advisor 

Location: Exeter, CA or Remote (Hybrid option available)

 

About Us 

We’re a growing $400M+ AUM financial planning firm headquartered in Exeter, CA, serving the backbone of America—the hard-working families we’re proud to call clients.

Our mission is to obsessively serve our team and clients, so they feel known, valued, and loved.
 
Our Core Values: Scrappy | Stronger United | Excellence Wins | Unyielding Integrity

Our team operates on the Entrepreneurial Operating System (EOS) and is structured into Diamond Teams — small, high-functioning advisor groups that deliver exceptional, consistent service through shared accountability. 

Each Diamond Team pairs a Senior Financial Advisor with up to two Servicing Financial Advisors and dedicated operational support. The Senior Advisor leads strategy and drives growth.

The Servicing Advisor ensures every client feels deeply cared for and that their financial plan is executed with excellence. If you thrive in client relationships, enjoy bringing clarity to complex planning conversations, and want to grow your advisory career within a high-performing, purpose-driven firm, this role is your next step.

 

The Role 

As the Servicing Financial Advisor (Lead FA), you’ll be the primary relationship manager for approximately 200 clients, meeting directly with them for ongoing reviews, updates, and service-related discussions to keep them confident and informed. You’ll serve as their trusted day-to-day advisor—managing follow-ups, running planning scenarios, handling service needs, and ensuring a smooth, proactive, relationship centered experience. You’ll also work closely with the Senior Advisor to uncover opportunities, identify planning needs, address insurance gaps, and strategically grow wallet share within your team’s client base. 

This position is ideal for someone currently in a Paraplanner or Associate Advisor role who is ready to take on more client interaction and ownership without added pressure to close sales.

 

What You’ll Be Doing 

Relationship Management 

• Serve as the main point of contact for ~200 assigned clients.
• Respond quickly and follow through completely—no loose ends.
• Conduct annual review meetings for maintenance clients.
• Make proactive check-in calls to deepen relationships and uncover needs.

Financial Planning & Meeting Preparation

• Prepare and update financial plans, meeting materials, and review packages.
• Interpret planning results and translate them into clear, actionable conversations.
• Collaborate with the Senior FA to execute plan-related recommendations.

Client Service Execution

• Own all client-facing service conversations (distributions, RMDs, beneficiary changes, etc.).
• Coordinate execution with the Operations Team while maintaining full client communication responsibility.
• Track all communication and next steps in the CRM with accuracy and detail.

Opportunity Identification

• Identify planning gaps or opportunities within existing relationships.
• Surface sales opportunities to the Senior FA for strategic discussion.
• Prepare supporting materials, proposals, or data needed for Senior FA.

Sales Support Follow-Through (Execution Only)

• Assist when a client chooses to move forward with planning or investment changes.
• Call 401(k)/pension companies with clients for rollovers.
• Follow up with clients on statement requests, signing paperwork, or courtesy reminders and updates.
• Gather insurance/medical documents to prevent delays.
• Ensure every step of the process is accurate and timely.
• Provide complete and thorough directives for the Operations team to execute clients service requests, plan agreements, investment directives, and opening new accounts. 

 

What You’ll Bring 

Licenses

• Series 7 and 66 (or 63 & 65) - REQUIRED
• California Life Insurance License preferred
• CFP preferred

 

Experience

• 3+ years in financial planning, paraplanning, or advisory support REQUIRED (THIS IS NOT AN ENTRY LEVEL POSITION)
• Experience working directly with clients REQUIRED

Mindset & Approach

• Self-motivated, relationship-first, detail-driven, and accountable
• Thrives in a structured, process-oriented environment
• Enjoys collaboration and sees shared success as the goal
• Loves helping clients understand the “why” behind their plan

 

REQUIRED Financial Planning & Technical Skills

 

Comprehensive Data & Document Analysis

Ability to gather, verify, and interpret complex client data across cash flow, tax returns, insurance policies, investment accounts, retirement plans, equity compensation, and estate documents—ensuring accuracy, completeness, and suitability for planning.

 

Advanced Financial Plan Construction (MoneyGuidePro)

Build full financial plans including goals, protection modules, Social Security integrations, tax strategies, what-if scenarios, and multi-year projections; translate outputs into clear, actionable insights for clients and advisors.

 

Investment Portfolio Evaluation

Conduct thorough portfolio analysis, including performance relative to benchmarks, risk alignment using Nitrogen or similar tools, cash reserve adequacy, tax-efficient asset placement, cost-basis strategies, concentration risk, cash drag, and overall portfolio suitability.

Retirement Income Planning

Design and evaluate multi-source retirement income strategies through effective withdrawal sequencing, Monte Carlo stress testing, coordination of RMDs, Social Security optimization, annuity income integration, tax bracket management, and Medicare IRMAA awareness.

 

Insurance & Annuity Analysis

Review and evaluate term, whole life, universal life, indexed universal life, variable universal life, and annuities (fixed, indexed, variable), including running and interpreting in-force illustrations, comparing product structures, identifying gaps, and determining policy suitability or replacement opportunities.

Tax-Aware Planning

Model Roth conversions, distribution strategies, capital gains impacts, and multiyear tax projections using Holistiplan or equivalent tool; apply working knowledge of tax brackets surtaxes, Medicare thresholds, and tax-efficient investment and withdrawal strategies.

Estate & Legacy Planning Integration

Review wills, trusts, and POAs for alignment with client goals; identify inconsistencies in titling or beneficiary designations; support Wealth.com onboarding; flag unfunded or outdated estate structures; and recognize opportunities for legacy planning, incapacity planning, and generational wealth transfer.

 

Synthesis & Communication

Distill complex financial data into clear insights, advisor talking points, and client-friendly explanations—ensuring decisions are well-supported, compliant, and aligned with the client’s long-term goals.

 

Our Leadership 

With our organization, you will be led by a leader who combines high expectations with high support in an environment that is constantly evolving. Our leadership style is direct, fast-paced, and deeply invested in both client excellence and advisor growth. While providing structure, accountability, and clear priorities, we also lead within a firm that is rapidly growing, innovating, and pushing the status quo in financial planning, technology adoption, acquisitions, and operational processes. This means clarity is always the goal — but the business is dynamic, and change is constant.

Advisors who thrive with our team are energized by a moving target, and can maintain high attention to detail in client-facing work even during periods of transition, and have the stamina to operate in an environment where growth requires navigating ceilings of complexity and adapting quickly to unforeseen obstacles. If you value direct feedback, personal mastery, innovation, and being part of a high-performance team that is building something bigger than the status quo, you will thrive here.

You Will Absolutely Love This Job If You: 

• Love being a trusted, ongoing advisor to clients. 

• Enjoy personal growth, constructive feedback, and continuous improvement. 

• Want to grow your technical planning skills across tax, investments, insurance, and estate planning. 

• Are energized by collaboration and team success. 

• Enjoy transforming data into simple, meaningful client conversations. 

• Take pride in prompt execution, accuracy, and professionalism. 

• Want a long-term path toward Senior FA responsibilities. 

• Love being challenged and operating at a high standard.

 

You Will Hate This Job If You: 

• Need constant direction and struggle to work independently. 

• Get overwhelmed by details or frequently miss them. 

• Dislike technology or get frustrated learning new systems. 

• Are sloppy with data entry, notes, or documentation. 

• Struggle to prioritize and can’t switch between tasks without losing accuracy. 

• Prefer to wing it instead of following proven workflows. 

• Avoid accountability or constructive feedback. 

• Prefer to work alone and resist team collaboration. 

• Shut down under pressure or when multiple deadlines stack up. 

What Success Looks Like 

• Clients feel known, valued, supported, and confident in their plan. 

• All reviews, tasks, and follow-ups are completed quickly and accurately. 

• Senior FA is freed to focus on new business and strategic planning. 

• The Diamond Team operates as one—efficient, proactive, and client-obsessed.

Salary & Benefits 

• Base Salary: $100,000 – $130,000 (based on experience) 

• Bonus: Quarterly performance bonus tied to client satisfaction, planning delivery, and team metrics 

• 401(k): up to 3% match or 4% employer contribution with a 5% employee deferral 

• Benefits: 100% company-paid health, dental, and vision coverage 

• PTO: Unlimited PTO with advance manager approval 

• Sabbatical: One-month paid sabbatical every 3 years of service 

• Schedule:

• Monday–Thursday: 8:30 a.m. – 5:00 p.m. Pacific
• Friday: 8:30 a.m. – 1:00 p.m. Pacific 

 

How to Apply 

If you’re a planner at heart who loves people and is ready for more client interaction, we welcome the opportunity to meet you. Submit your resume and cover letter through our online portal and tell us why you’d thrive on our Team.