What GWN Securities does

GWN Securities, Inc. is a privately held, Florida-incorporated independent broker-dealer and Registered Investment Advisor that has operated since 2003 from a single headquarters in Palm Beach Gardens. The firm is a member of FINRA and SIPC and serves independent financial advisors, offering a full-service platform that allows them to build and structure practices as either full-fledged agencies or solo operations. Its product surface spans a full-service advisor platform, open-architecture investment solutions, an employer plan vertical covering 403b, 457b, 401A, ORP, and Higher Education retirement plans, and a technology layer that includes an integrated AI assistant (Advisor360°'s Parrot AI) for meeting preparation, secure meeting capture, automated CRM updates, and AI-generated follow-ups.

GWN's go-to-market is a direct, field-based sales model in which Business Development Specialists recruit advisors — particularly those transitioning from other firms — and provide personalized onboarding, transition management, and ongoing administrative and business development support. The firm also serves Higher Education and employer plan clients through a specialized retirement-plan offering, indicating a secondary institutional channel.

Revenue is generated from securities and advisory services as a FINRA member broker-dealer and RIA, with the underlying model described as subscription/recurring. No revenue, AUA, advisor headcount, or pricing figures are publicly disclosed. The company's stated competitive positioning rests on independence from IBD consolidation trends, low extraordinary advisor expenses, open-architecture investment access, and a high-touch service model supplemented by the Parrot AI-enabled technology stack delivered through the Advisor360° partnership.

Name

GWN Securities

Legal name

GWN Securities, Inc.

Website

https://gwnsecurities.com

Company type

Private

Founded year

2003

Operating status

Operating

Headcount range

101–250 employees

Short description

GWN Securities is a private, Florida-based independent broker-dealer and Registered Investment Advisor that provides a full-service platform, open-architecture investments, and AI-enabled advisor technology to independent financial advisors and Higher Education retirement plan clients.

Ownership category

akta.pro rank

Product category

Independent Broker-Dealer Services

NAICS

Portfolio Management and Investment Advice (523940), Securities, Commodity Contracts, and Other Financial Investments and Related Activities (523)

SIC

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

akta.pro primary industry

Private Banking & UHNW Wealth Advisory (FSAEABAC)

akta.pro secondary industries

Managed Account Platforms (Separately Managed Accounts / Customized Portfolios) (FSAHAKAC), Group Variable Universal Life (GVUL) (FSAIADAD)

Keywords

• Independent broker-dealer
• Wealth management platform
• Registered investment advisor
• Retirement plan services
• Financial advisor support

Headquarters

HQ city

Palm Beach Gardens

HQ country

United States

HQ region

North America

Offices1 record

Markets served

GTM type

B2B

Offering type

Services

Cost components

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

Revenue model

1. Securities and Advisory Services: GWN Securities generates revenue through securities and advisory services as a FINRA member broker-dealer and Registered Investment Advisor. Revenue likely derives from transaction-based fees, advisory fees, and potentially recurring platform fees for advisor subscribers.

Go-to-market motion1 record

Distribution channels2 records

Marketing channels2 records

Core offering

GWN Securities operates a full-service independent broker-dealer and Registered Investment Advisor platform that gives independent financial advisors the freedom to build and structure their practices as full-fledged agencies or solo operations. The offering bundles open architecture investment solutions, an advisor technology stack (including the Parrot AI integration with Advisor360°), transition management and personalized onboarding, administrative back-office support, business development assistance, and employer retirement plan services spanning 403b, 457b, 401A, ORP and Higher Education plans.

Product overview

GWN Securities operates as a full-service independent broker-dealer platform for financial advisors. The company offers a unified platform combining technology tools (including Parrot AI integration for AI-powered meeting preparation, secure meeting capture, and automated CRM updates), investment solutions with open architecture, and employer retirement plan services (403b/457b/401A/ORP & Higher Education). The core platform supports advisors building full agencies or solo practices, with additional modules for administrative support, transition management, and business development.

Differentiator

Problem solved

Functional benefit

Products and services

• Full-Service Advisor Platform Full-service independent broker-dealer and Registered Investment Advisor platform that allows independent financial advisors to build and structure their practice on their own terms, with transition management, administrative support, and business development assistance.
• Investment Solutions Open architecture investment platform offering a broad selection of investment products that advisors and their clients can choose from, rather than a restrictive proprietary menu.
• Technology Solutions Cutting-edge advisor technology stack, including the Parrot AI integration with Advisor360°, that streamlines advisor workflows through AI-powered meeting preparation, secure meeting capture, automated CRM updates, and AI-generated follow-ups.
• Employer Plan Opportunities (403b/457b/401A/ORP & Higher Education) Specialized retirement and benefit plan solutions covering 403b, 457b, 401A, ORP and Higher Education plans for educational institutions and employers needing plan administration and compliance support.

Segments2 records

Ideal customer profiles2 records

Technology focussed No

API detail

Has API

No

API docs

API detail

Core technology

AI maturity

App detail

Integration1 record

AI capability4 records

Feature1 record

Partnerships

One partnership is on record.

• Advisor360°coreTechnology or Integration · 11 April 2026Expanded partnership with Advisor360° to deliver AI-powered advisor workday tools. GWN Securities integrates Parrot AI assistant into its advisor workflows, enabling AI-powered meeting preparation, secure meeting capture, automated CRM updates, and AI-generated follow-ups across its network of financial professionals. This builds on existing technology integration within the Advisor360° ecosystem.

Scale indicators2 records

Recent moves4 records

Expansion highlights4 records

Direct peers

• Kestra Financial: Independent wealth platform supporting independent financial advisors with brokerage, advisory and insurance solutions. Closely mirrors GWN's advisor-centric independent affiliation model and multi-product offering.
• Raymond James Financial: Large diversified wealth manager with a substantial independent advisor channel (Raymond James Financial Services). Comparable as an IBD/IA platform offering brokerage, advisory and technology tools to independent advisors alongside traditional employee-advisor branches.
• Osaic (formerly Advisor Group): Independent IBD platform serving thousands of independent advisors under multiple subsidiary brands. Directly comparable to GWN as a multi-brand independent broker-dealer recruiting and supporting breakaway and existing independent advisors.
• LPL Financial Holdings: Largest US independent broker-dealer and RIA custodian. Directly comparable as a full-service IBD platform recruiting independent financial advisors with multi-product brokerage, advisory and technology offerings — GWN operates in LPL's addressable market at a smaller scale.
• Cetera Financial Group: Multi-channel independent IBD serving independent advisors across brokerage, advisory and retirement channels. Directly comparable to GWN in independent advisor affiliation model and wealth solutions stack.
• Commonwealth Financial Network: Privately held independent IBD and RIA supporting independent advisors with a full-service affiliation model. Highly comparable to GWN in targeting advisor independence, technology investment and relationship-driven support.
• Cambridge Investment Research: Independent IBD structured as a hybrid/RIA platform for independent advisors. Closely comparable to GWN in operating model, advisor-centric philosophy and open-architecture investment options, competing for the same breakaway advisor segment.

Broad incumbents

• Ameriprise Financial: Large diversified wealth and asset manager with an independent advisor channel (Ameriprise Financial Services). Comparable to GWN in offering independent advisors a multi-product platform including brokerage, advisory, retirement and insurance solutions.
• Fidelity Investments (Fidelity Institutional): Incumbent custodian and brokerage provider for independent RIAs and advisors. Comparable to GWN in serving independent advisors with custody, technology and investment solutions, but at dramatically greater scale as part of a global asset manager.
• Charles Schwab (Advisor Services): Large incumbent RIA custody and brokerage platform serving independent advisors. Comparable to GWN as a hosting platform for independent advisors but at significantly greater scale and with a broader product set beyond wealth (retail, banking).

Market position

Strengths5 records

Weaknesses5 records

Competitive moat5 records

Key risks5 records

Key highlights6 records

Customer concentration

• Xx.com/GWNsecurities
• LinkedInlinkedin.com/company/gwn-securities-inc.

Compliance2 records

Revenue estimate

Valuation estimate

Number of profiles

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 GWN Securities