Maplewood Investment Advisors

What Maplewood Investment Advisors does

Maplewood Investment Advisors (doing business as Maplewood Investments, Inc.) is a privately held independent brokerage firm headquartered at 12222 Merit Drive, Suite 1390, Dallas, Texas. Founded in 2000 by Dan Dooley and Cynthia Besek, the firm operates as a FINRA and SIPC member introducing broker, executing a tri-party clearing arrangement with Fidelity Clearing & Custody Solutions through National Financial Services as custodian, with Orion as its wealthtech platform partner providing the single sign-on web portal and access to more than 700 portfolio managers.

The firm's core offering consists of brokerage services and tri-party clearing to independent financial advisors, with no mandated business model and support for commission-based, advisory, and hybrid compensation arrangements. Through affiliated investment advisers MIAI, Inc. and Blueprint Financial Advisors LLC (both registered under the Investment Advisers Act of 1940 and part of the Blueprint family of companies following a 2024 affiliation), the firm extends into advisory services covering wealth management, budgeting and cash flow, retirement planning, portfolio management, estate planning, and education savings. Specialized fixed-income offerings include Kurt Smith's municipal bond programs: The Select Approach™, The Tax-Free Cash Investment Program™, and The Tax-Free Growth Program™.

Maplewood makes money through transactional brokerage commissions and recurring advisory fees generated by its affiliated RIA entities, sourced from a distributed base of independent financial advisors and, through them, individual investors across the United States. Distribution is primarily partnership-led and direct, supported by a website (maplewoodinvestments.com), a client portal (mystreetscape.com), a "Let's Talk" contact system, and individual-team LinkedIn presence. A 2024 leadership transition installed Andrea Johnson Swope as CEO and Jon Robinson as Chairman as part of the Blueprint family affiliation, with subsequent operational and marketing hires through 2025-2026.

Name

Maplewood Investment Advisors

Legal name

Maplewood Investments, Inc.

Website

https://maplewoodinvestments.com

Company type

Private

Founded year

2000

Operating status

Operating

Headcount range

1–10 employees

Short description

Maplewood Investment Advisors is a privately held independent brokerage firm in Dallas, Texas, founded in 2000, that provides independent financial advisors and their investor clients with tri-party clearing through Fidelity/National Financial Services, Orion-powered wealthtech, and advisory services through affiliated RIAs.

Ownership category

akta.pro rank

Product category

Independent Brokerage Services

SIC

Security Brokers, Dealers & Flotation Companies (6211), Investment Advice (6282)

akta.pro primary industry

Independent Broker-Dealers (Retail Network) (FSAAAAAC)

akta.pro secondary industries

Broker-Dealer Affiliated Wealth Advisory (FSAEABAB), Clearing & Prime Brokerage Custody Services (FSAAAOAE)

Keywords

• Independent brokerage services
• Financial advisory services
• Wealth management solutions
• Retirement planning services
• Portfolio management solutions

Headquarters

HQ city

Dallas

HQ country

United States

HQ region

North America

Offices1 record

Markets served

GTM type

B2B

Offering type

Services

Cost components

Personnel, Operations, Compliance, Technology or R&D, Marketing or Sales

Revenue model

1. Brokerage Services: Brokerage services provided by Maplewood Investments, Inc., a FINRA and SIPC member firm. The firm supports commission-based, advisory, and hybrid compensation arrangements for independent financial advisors.
2. Advisory Services: Advisory services provided through affiliated investment advisers MIAI, Inc. and Blueprint Financial Advisors LLC, registered under the Investment Advisers Act of 1940.

Go-to-market motion2 records

Distribution channels4 records

Marketing channels4 records

Core offering

Maplewood Investment Advisors operates as an independent brokerage firm that connects financial professionals and investors to diverse financial solutions and investing strategies. The firm provides brokerage services, tri-party clearing through Fidelity Clearing & Custody Solutions with National Financial Services as custodian, and advisory services through affiliated registered investment advisers MIAI, Inc. and Blueprint Financial Advisors LLC. It offers wealth management, budgeting and cash flow, retirement planning, portfolio management, estate planning, and education savings services, plus specialized municipal bond programs.

Product overview

Maplewood Investments operates as an independent brokerage firm offering a unified suite of financial services. The core offering consists of Brokerage Services and Tri-Party Clearing arrangements, which provide financial professionals and investors access to diverse financial solutions and investing strategies. These are supplemented by advisory services through affiliated companies MIAI, Inc. and Blueprint Financial Advisors LLC. The product portfolio includes wealth management, budgeting and cash flow, retirement planning, portfolio management (with access to 700+ portfolio managers), estate planning, and education savings. Additionally, proprietary programs including The Select Approach™ for municipal bond selection, The Tax-Free Cash Investment Program™, and The Tax-Free Growth Program™ round out the specialized offerings. The firm also provides operational, compliance, and regulatory support.

Differentiator

Problem solved

Functional benefit

Products and services

• Brokerage Services Independent brokerage services connecting financial professionals and investors to diverse financial solutions and investing strategies, featuring a single sign-on web portal, no mandated business model, client account management, and support for commission-based, advisory, and hybrid arrangements.
• Tri-Party Clearing Clearing arrangement where Maplewood functions as the introducing firm, with Fidelity Clearing & Custody Solutions through National Financial Services as custodian, providing flexibility to use trading, planning, and reporting platform of choice.
• Advisory Services (via MIAI, Inc. and Blueprint Financial Advisors LLC) Advisory services provided by affiliated investment advisers MIAI, Inc. and Blueprint Financial Advisors LLC, registered under the Investment Advisers Act of 1940.
• Wealth Management Services Tailored wealth management services offered to financial professionals and investors as part of the bespoke financial solutions portfolio.
• Retirement Planning Retirement planning services tailored to individual financial goals and risk tolerances.
• Portfolio Management Portfolio management services with access to more than 700 proven portfolio managers, supporting self-directed model portfolio creation.
• Estate Planning Estate planning services as part of comprehensive financial planning for clients.
• Education Savings Planning Education savings planning, including 529 Savings Plans, helping families save for educational expenses.
• The Select Approach™ A proprietary methodology developed by Kurt Smith for providing direction, strengthening relationships, and utilizing creativity in formulating strategy and selecting municipal bonds, utilized with high-net-worth individuals and money manager clients.
• The Tax-Free Cash Investment Program™ Tax-free investment program designed to bring additional opportunities to bond market clients.
• The Tax-Free Growth Program™ Tax-free growth investment program focused on bond market investment opportunities.

Segments2 records

Ideal customer profiles2 records

Technology focussed No

API detail

Has API

No

API docs

API detail

Core technology

AI maturity

App detail

Integration3 records

Feature3 records

Partnerships

Four partnerships are on record, tiered core.

• MIAI, Inc. (Maplewood Investment Advisors)coreStrategic or Co-development Partner · 1 January 2024MIAI, Inc. is an affiliated investment adviser registered under the Investment Advisers Act of 1940. The firm provides advisory services alongside Maplewood Investments, Inc. and Blueprint Financial Advisors LLC.
• Blueprint Financial Advisors LLCcoreStrategic or Co-development Partner · 1 January 2024Blueprint Financial Advisors LLC is an affiliated investment adviser registered under the Investment Advisers Act of 1940. The firm became affiliated with Maplewood Investments in 2024 as part of the Blueprint family of companies.
• Fidelity Clearing & Custody Solutions (FCCS) / National Financial ServicescoreChannel Partner/ Reseller/ DistributorFidelity Clearing & Custody Solutions through National Financial Services serves as the custodian for client securities, providing safekeeping to prevent loss or theft. This is a market-leading financial institution that holds client securities and is a key part of Maplewood's tri-party clearing model.
• OrioncoreTechnology or IntegrationOrion is a wealthtech platform partner providing transformative, user-friendly wealth management technology solutions. Financial professionals and their clients gain secure anytime, anywhere online access to a fully personalized financial management portal.

Scale indicators3 records

Recent moves6 records

Expansion highlights6 records

Direct peers

• LPL Financial: The largest U.S. independent broker-dealer, providing brokerage, advisory, custody, and technology services to independent financial advisors. Directly comparable to Maplewood in serving independent advisors via an open-architecture platform, though at vastly greater scale.
• NEXT Financial Group: Mid-sized independent broker-dealer providing brokerage, advisory, and insurance services to independent financial professionals. Similar in scale and positioning to Maplewood within the IBD landscape.
• American Portfolios (APW Partners): Independent broker-dealer and OSJ supporting independent financial advisors with dual-registration models. Comparable to Maplewood in serving independent professionals seeking flexibility in business structure.
• Kestra Financial: Independent wealth management platform supporting independent financial advisors with brokerage, advisory, and insurance solutions. Directly comparable as an independent BD serving breakaway and existing independent advisors.
• Triad Advisors: Independent broker-dealer serving independent financial advisors with hybrid and fee-based business models. Comparable in supporting advisors through open-architecture and multiple compensation structures.
• Cambridge Investment Research: Independent broker-dealer supporting independent financial advisors with custody, technology, and compliance infrastructure. Closely aligned with Maplewood's open-architecture, no-mandated-model positioning.
• Ausdal Financial Partners: Independent broker-dealer supporting independent financial advisors with securities, advisory, and insurance solutions. Similar in scale and operating model to Maplewood within the IBD peer set.
• Commonwealth Financial Network: Privately held independent broker-dealer and RIA custodian supporting independent financial advisors. Comparable in business model, advisor-centric culture, and open-architecture approach.
• Cetera Financial Group: Multi-channel independent broker-dealer network serving financial advisors with brokerage, advisory, and wealth management services. Comparable to Maplewood in serving independent advisors across multiple compensation models.
• Sigma Financial Corporation: Independent broker-dealer offering brokerage, advisory, and retirement plan services to independent financial advisors. Comparable in scale, advisor-centric model, and product breadth.

Market position

Strengths4 records

Weaknesses4 records

Competitive moat5 records

Key risks5 records

Key highlights6 records

Customer concentration

• LinkedInlinkedin.com/company/maplewood-investment-advisors

Compliance3 records

Revenue estimate

Valuation estimate

Number of profiles

Profiles10 records

Funding overview

Funding rounds

Investors

Funding detail is available on the Subscription and Enterprise plan.Contact sales →

M&A

Investments

M&A and investment is available on the Subscription and Enterprise plan.Contact sales →

Frequently asked questions about Maplewood Investment Advisors