Building Long-Term Relationships To Deliver Exceptional Value

Wentworth is not a private equity fund and has a long-term hold bias toward investments. The strategic intent of Wentworth is to acquire broker dealers and capture economies of scale needed to service financial advisors in today’s technology enabled regulatory environment. We believe this focus will enable us to build a leading wealth management platform for Advisors to continue to call home.

Our management principles are those of collaborative partnership with those we acquire. We can bring flexible and multi-faceted options for owners to exit their business or to recapitalize their businesses. The collaborative exchange of ideas and information that we share with our investors and broker dealers is what creates unique partnerships. We seek to make growth capital accessible to companies and enable them to achieve strategic growth in the wealth management industry. We take an owner operator view of our businesses, versus a financial engineering approach. Our strategic goal is to improve the wealth management experience for our financial advisors who service their clients and add valuable advice for the financial strength of their families.

A central tenant to our management philosophy is risk vigilance. We prioritize risk management in all of our policies and procedures. We aim to be proactive on compliance and regulatory trends versus reactive. We believe this vigilance will foster a positive working relationship with our regulators and give the Advisors a clear view of the environment they are operating within.

The Wentworth management team has extensive experience owning and operating broker dealers in the US as well as principal investing activities on behalf of institutional investors and family offices. Our firm owns and provides management services for the purest form of a hybrid broker dealer, providing an open architecture platform for dually registered advisors that allows them to continue to execute their commissionable business in order to cover all their clients in their book of business. Our core philosophy focuses on building long-term, value-added relationships with our advisor base. We always seek new innovation through technology in order to increase Advisor productivity and client satisfaction, while enhancing the compliance framework for Advisors.

Our holdings include a broker-dealer firm with a dealer manager business, investment banking division and a wholesale distribution division. This differentiating factor allows our firm to bring institutional quality asset managers into the retail capital markets and offer up innovative alternative investment products to the marketplace that may not be available to the wire-house Advisors.

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