CreativeOne Securities

What CreativeOne Securities does

CreativeOne Securities, LLC is an independent, hybrid broker-dealer and registered investment advisor (RIA) headquartered in Overland Park, Kansas, founded in January 2011 (originally as Client One Securities) and operating as a subsidiary of CreativeOne, a diversified financial services organization. The firm serves independent financial advisors and RIAs across the United States, providing the back-office infrastructure, compliance support, and technology platforms these advisors need to operate their own practices without the proprietary-product pressure associated with wirehouses. Its stated 98% advisor retention rate and references to 40%+ organic growth over a two-year period suggest a relationship-driven, advisor-first operating model.

The company's core offerings are organized into two interconnected service lines: Broker-Dealer Services (stocks, bonds, options, variable life/annuities, REITs, mutual funds, with no investment quotas for advisors) and RIA Services (sub-advised CreativeOne models, turnkey asset management, rep-managed wrap accounts, Elite Choice 401(k) administration, financial planning, and third-party money manager selling agreements). The technology stack is assembled from established third-party providers rather than proprietary builds: Pershing NetX360 for trading, NetXInvestor for client account access, Envestnet and Albridge for reporting, DocuSign and SIGNiX for e-signatures, Laser App Enterprise for forms processing, and SMARSH for social media compliance archiving — all delivered via SEC- and FINRA-compliant cloud infrastructure.

Revenue is generated through three streams: transaction-based commissions on broker-dealer products, recurring advisory fees tied to assets under management (the RIA carries approximately $6 billion in total assets), and commissions on insurance/annuity sales treated as outside business. Pricing is not publicly disclosed and is quote-based, with contracts negotiated directly through the home office. The firm distributes services exclusively through its recruited advisor network rather than direct-to-consumer channels, and its growth model emphasizes advisor recruitment supported by a structured transition team.

Name

CreativeOne Securities

Legal name

CreativeOne Securities, LLC

Website

https://creativeonesecurities.com

Company type

Private

Founded year

2011

Operating status

Operating

Headcount range

11–50 employees

Short description

CreativeOne Securities is an independent hybrid broker-dealer and RIA serving independent financial advisors and RIAs across the U.S., providing broker-dealer, advisory, compliance, and technology infrastructure (Pershing NetX360, e-signature, reporting, 401(k) administration) with approximately $6 billion in RIA assets.

Ownership category

akta.pro rank

Headquarters

HQ city

Overland Park

HQ country

United States

HQ region

North America

Offices1 record

Markets served

GTM type

B2B

Offering type

Services

Cost components

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

Revenue model

1. Broker-Dealer Services: Traditional broker-dealer services including securities trading (stocks, bonds, options), variable life and annuity products, mutual funds, and REITs/BDC/DPP products. Revenue generated through commissions on transactions and product sales.
2. Registered Investment Advisor Services: RIA platform services including sub-advised models, turnkey asset management platforms, rep-managed wrap accounts, third-party money manager agreements, and financial planning. Revenue from advisory fees based on assets under management.
3. Insurance and Annuity Products: Sale of fixed indexed annuities and life insurance products, treated as outside business with favorable commission treatment for advisors

Pricing tiers

Go-to-market motion1 record

Distribution channels1 record

Marketing channels4 records

Core offering

CreativeOne Securities is a hybrid independent broker-dealer and Registered Investment Advisor providing trading (stocks, bonds, options), variable life and annuity products, mutual funds, REITs/BDCs/DPPs, sub-advised and turnkey asset management models, rep-managed wrap accounts, financial planning, and third-party money manager access. The firm delivers this through a cloud-based compliance and technology platform featuring Pershing NetX360, DocuSign, Laser App, SMARSH, and NetXInvestor, supported by a structured advisor transition service.

Product overview

CreativeOne Securities operates as a hybrid independent broker-dealer and registered investment advisor (RIA), offering two interconnected service lines under one roof. The Broker-Dealer Services arm provides traditional brokerage products including stocks, bonds, options, variable life and annuities, REITs, and mutual funds, with no investment quotas for advisors. The RIA Services arm delivers investment management through exclusive sub-advised CreativeOne Securities models, turnkey asset management platforms, rep-managed wrap accounts, Elite Choice 401(k) administration, and third-party money manager selling agreements. These two core lines are supported by a cloud-based compliance platform (offering Pershing NetX360 access, monitored email, and electronic document storage) and a data aggregation and reporting solution (providing a global advisor dashboard and client-facing mobile app). A structured advisor transition service completes the portfolio, guiding new advisors through onboarding, registration, and compliance setup. The overall architecture is a platform-plus-modules model where the hybrid BD/RIA platform serves as the foundation, with technology and compliance modules built on top to support independent advisors.

Differentiator

Problem solved

Functional benefit

Products and services

• Broker-Dealer Services Traditional brokerage services for independent advisors including trading in stocks, bonds, and options, plus selling agreements for variable life and annuity, REITs/BDCs/DPPs, and mutual fund products, with no investment quotas for advisors.
• Registered Investment Advisor (RIA) Services Comprehensive RIA platform offering exclusive sub-advised CreativeOne Securities models, turnkey asset management platforms, rep-managed wrap accounts with open architecture, Elite Choice 401(k) administration, financial planning and consulting agreements, and third-party money manager selling agreements for RIAs.
• Cloud-Based Compliance Platform SEC & FINRA-compliant cloud-based compliance and operations support system for advisors, featuring monitored and archived email, electronic commission statements, electronic compliance file storage, unlimited document storage, and disaster recovery.
• Hybrid Advisory Model & Sub-Advisory Services Scalable and customizable platform enabling advisors to offer sub-advisory services to clients, providing conflict-free and fully transparent investment solutions meeting investor needs at any level.
• Data Aggregation and Reporting Solution Wealth management technology providing comprehensive data aggregation and reporting across all custodians, direct accounts, and security types, including a global advisor dashboard and a client-facing desktop and mobile app portal.
• Advisor Transition Services Structured onboarding and transition support for advisors moving to CreativeOne Securities, covering registration, licensing, compliance, operations, and a six-step transition process designed to minimize downtime and disruption when changing broker-dealers.

Quantifiable outcome

• 98% advisor retention rate
• +1 more outcomes

Named customers3 records

Segments3 records

Ideal customer profiles2 records

Technology focussed No

API detail

Has API

No

API docs

API detail

Core technology

AI maturity

App detail

Integration10 records

Feature7 records

Partnerships

Ten partnerships are on record, tiered core and minor.

• BluerockcoreStrategic or Co-development Partner · 11 March 2020Bluerock is a preferred partner and sponsor of the Client One Sales Summit. Their Bluerock Total Income+ Real Estate Fund diversifies through a multi-manager, multi-strategy and multi-sector investment approach. The fund allows individuals to invest in private, institutional real estate securities alongside some of the nation's largest endowment and pension plans.
• Triton Pacific Capital PartnersminorGTM or Marketing Partner · 6 November 2019Triton Pacific Capital Partners is a preferred partnership and sponsor of the Client One Sales Summit. Triton Pacific, founded in 2001, is a Los Angeles-based private equity firm offering tax-advantaged income and growth investment programs for both accredited and non-accredited investors.
• CUNA Mutual GroupcoreGTM or Marketing Partner · 27 January 2019CUNA Mutual Group is a preferred partner and sponsor of the Client One Sales Summit. They connect with advisors throughout the year, sharing content designed to assist in building strong relationships with clients. CUNA highlights top items peers have viewed throughout the year.
• DocuSigncoreTechnology or Integration · 18 May 2018DocuSign provides electronic signature capability on any device for secure document execution including Pershing, Schwab forms and any other documents. The integration enables advisors to conduct business efficiently with electronic signatures that are more secure than paper.
• Laser App EnterprisecoreTechnology or Integration · 18 May 2018Laser App Enterprise provides bulk forms processing and e-sign ready forms with a mobile-friendly platform for updating bulk client documents from the purchase of a book of business.
• SMARSHcoreTechnology or Integration · 18 May 2018SMARSH provides social media compliance monitoring and archiving solution for the firm's advisors, ensuring compliance with regulatory requirements for social media communications.
• CION Ares Diversified Credit FundminorStrategic or Co-development Partner · 12 February 2018CION Ares Diversified Credit Fund is a continuously offered, diversified, unlisted closed-end management investment company that is an interval fund. The fund provides superior risk-adjusted returns across various market cycles by investing in a globally diversified portfolio of liquid and illiquid credit asset classes.
• Potomac Fund ManagementcoreGTM or Marketing Partner · 10 February 2018Potomac Fund Management is a premier multi-year sponsor of the Client One Sales Summit. They provide thought leadership around market trends and help educate advisors. The firm is described as a great partner with extensive product offerings.
• Pershing (BNY Mellon)coreTechnology or IntegrationPershing NetX360 trading platform is integrated for securities trading including stocks, bonds, options, and other investment products. Provides the core trading infrastructure for the broker-dealer.
• Third-Party Money ManagerscoreTechnology or IntegrationThe firm has vast selling agreements with leading organizations including Potomac, Steele Capital and many others. These third-party managers provide diverse investment options for advisors and their clients.

Scale indicators5 records

Recent moves7 records

Expansion highlights5 records

Direct peers

• Cetera Financial Group: Multi-channel independent broker-dealer/RIA formed through roll-up. Comparable in hybrid BD/RIA structure, advisor recruitment motion, and breadth of sub-advisory and turnkey asset management offerings.
• Park Avenue Securities: Independent broker-dealer subsidiary focused on serving independent financial advisors. Comparable in advisor-only GTM, hybrid platform model, and emphasis on transition/onboarding services.
• Cambridge Investment Research: Large independent broker-dealer and RIA serving independent financial professionals. Closely comparable in offering hybrid BD/RIA platform, advisor recruitment focus, and breadth of product and tool integrations.
• Kestra Financial: Independent wealth management platform with BD/RIA capabilities serving independent advisors. Comparable in advisor-first model, hybrid BD/RIA offerings, and emphasis on advisor transition support.
• Commonwealth Financial Network: Independent broker-dealer/RIA hybrid serving independent financial advisors with brokerage and advisory platforms. Comparable to CreativeOne in target market (independent advisors), hybrid structure, and emphasis on advisor-first service model.
• Triad Advisors: Independent broker-dealer supporting independent financial advisors with hybrid BD/RIA platforms. Closely comparable in target market, hybrid service structure, and asset management product offerings.

Broad incumbents

• Raymond James Financial Services: Diversified financial services firm with a substantial independent contractor advisor channel. Comparable in serving independent advisors through broker-dealer infrastructure, but operates a much broader parent organization.
• Ameriprise Financial Services: Diversified financial services company with significant independent advisor channel. Comparable in advisor-focused BD/RIA platform and product breadth, but operates as a much larger public company with a broader portfolio.
• LPL Financial: Largest independent broker-dealer in the U.S. Comparable in core BD/RIA platform, technology integrations, and advisor recruitment motion — but at substantially greater scale, with proprietary technology and national footprint.
• Advisor Group: Network of independent broker-dealer brands (FSC Securities, Royal Alliance, SagePoint, etc.) serving independent advisors. Comparable in target market and hybrid BD/RIA offerings, but at much larger consolidated scale.

Market position

Strengths5 records

Weaknesses5 records

Competitive moat5 records

Key risks6 records

Key highlights6 records

Customer concentration

• Facebookfacebook.com/sharer.php?u=https%3A%2F%2Fcreativeonesecurities.com%2F
• LinkedInlinkedin.com/company/creative-one-securities-llc

Compliance2 records

Revenue estimate

Valuation estimate

Number of profiles

Profiles7 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 CreativeOne Securities