Financial Advisor Regional Director

Allworthfinancial; Indianapolis (IN); On-site; USD 150,000 - 230,000; Full time

Benefits offered by this job

Medical insurance

Dental insurance

Vision insurance

401K

Paid time off

Equity Purchase Program

Job summary

Allworth Financial seeks a Regional Director to lead a regional team of 45–65 financial advisors, driving growth, adherence to the Allworth advice standard, and top-tier client experience.

You will own regional growth, supervise Market Leaders, and coach advisors to maintain high retention and strong AUM. This role reports to the Chief Client Officer and requires strategic leadership across multiple offices.

Qualifications

• 10+ years in financial services.
• 5+ years in a leadership role.
• Experience coaching advisors to grow high-net-worth books.
• Ability to drive regional growth and client experience improvements.
• Excellent communication and relationship-building skills.

Responsibilities

• Lead 45-65 advisors and associate advisors in the region.
• Own regional growth goals and client retention metrics.
• Recommend advisor hires and market leader appointments.
• Coach advisors through change and maintain high service standards.
• Ensure regional KPIs and integration efforts meet plan targets.

Skills

Leadership

Coaching

Strategic Planning

Communication

Travel

Education

Bachelor's degree in Finance, Business, Marketing or related field

Job description

Allworth Financial (www.allworthfinancial.com) is an independent investment financial advisory firm that specializes in retirement planning, investment advising, and 401(k) management with a direct approach to financial planning. Allworth Financial delivers long- and short-term investment planning solutions and advice to help clients achieve their goals and plan strategically for retirement.

Allworth Financial is a high growth, private equity backed, multi branch Registered Investment Advisor. Founded in Sacramento, California, in 1993 Allworth is primarily a fee-based, employee-centric fiduciary advisory firm, that prides itself on emphasizing client well-being and education. The business is a multi-billion dollar firm and is on track for continued growth through both acquisitions and strong organic growth. Allworth is considered a great place to work and was once again given the prestigious “Circle of Excellence” award by the National Business Research Institute for employee and client satisfaction in 2021, placing it among the best-loved brands in America. Allworth Financial was also recognized as a Barron's Top 40 RIA in 2024.

SUMMARY:

Reporting directly to the Chief Client Officer. The Regional Director leads a region of 45-65 financial advisors and their Associate Advisors one of five regions (growing to six) as Allworth scales toward $100B AUM. The Regional Director owns regional growth, adherence to the Allworth advice standard, and the client experience for the region, supported by Market Leaders who provide local leadership while the Regional Director retains supervisory accountability.

DUTIES AND RESPONSIBILITIES:

Leadership & Growth

• Lead 45-65 advisors and their Associate Advisors; serve as a member of the Advisory leadership team and represent the region in the monthly FS Business Review.
• Own regional growth goals (NCNM and net flows) and hold advisors accountable to mutually agreed business plans; drive the clients-per-advisor productivity path (171 → 198) with Associate Advisor support toward a 4:1 ratio.
• Recommend advisor hiring within the FS capacity plan (per scorecard triggers, ~5-month lead time); partner with recruiting and lead onboarding of new advisors.
• Recommend Market Leader appointments and develop Market Leaders as local leaders — office culture, recruiting presence, first-line advisor support.
• Personally engage advisors through effective 1:1s, attending client meetings, and delivering individual and group coaching; serve as SME for advisor training needs.

Advice Standard & Client Experience

• Own advice-standard adherence and the coaching cadence for the region, in partnership with Practice Management growth consultants.
• Champion the planning-led client experience: drive planning penetration for $1M+ households through the Wealth Planning intake (≤3-week plan delivery SLA) and specialist engagement (tax, estate, insurance).
• Deliver the segmented service-tier promise; own regional client escalations; monitor household retention (≥96%) and AUM retention (≥98%).

Client & Book Decisions (Decision Rights)

• Decide client and book assignment — new clients, M&A books per the integration playbook, and advisor departures — with Market Leader input.
• Decide individual AGS migration exceptions within policy; escape to the Head of Advisory when exceptions exceed 5% of a book; execute migration waves against the ≥97% client-retention guardrail.
• Decide Associate Advisor → Advisor promotion timing and book assignment (readiness criteria owned by Practice Management; contributes to the 8–10 promotions/year firm pipeline).
• Recommend fee exceptions below segment minimums (decided in-band by the Head of Advisory); log all exceptions for quarterly review.

Integration & Cross-Organization Interfaces

• Receive acquired-firm advisors into the region at earnout completion, with assignment planned ≥60 days ahead in partnership with the Head of Integrations & AGS.
• Ensure BDO first-appointment handoffs (from the Sales organization) convert — warm introduction within 2 business days — and provide feedback on lead quality and advisor conversion.
• Monitor and report regional KPIs per the FS scorecard: NCNM vs. plan, clients per advisor, retention, advisor regrettable attrition (≤5%), and promotion throughput.
• Establish appropriate management controls to assure established policies and procedures are followed.

QUALIFICATIONS:

• Minimum 10 years in the financial services industry, 5 years in a leadership role
• Demonstrated success coaching advisors to grow high-net-worth books and adopt planning-led practices
• Experience leading advisors through structural change (segmentation, book transitions, or M&A integration) preferred
• Leadership qualities that inspire and influence employees; results and service focus
• Team-oriented with the ability to act as a resource for development of the team's effectiveness
• Outstanding communication, active listening and relationship-building skills, with a demonstrated ability to interact effectively at all levels of the organization
• Strong desire to teach
• Bachelor's degree in Finance, Business, Marketing or a related field
• Ability to travel 50% +/-

The above statements are intended to describe the general nature and level of work being performed by people assigned to this job. Typical reporting relationships are described, but actual relationships may vary in some instances. This job description is not intended to be an exhaustive list of all responsibilities, duties, skills, or knowledge required of personnel classified in this job.

BENEFITS

We value our associates’ time and effort. Our commitment to your success is enhanced by our competitive base pay and an extensive benefits package, including:

• Medical: Blue Shield (PPOs and HDHP with HSA) plans and Kaiser (HMO) plans for California associates
• Dental insurance with MetLife
• Vision insurancewith VSP
• Optional supplemental benefits
• Healthcare savings accounts with company contribution
• Flexible spending accounts
• Flexible working arrangements
• Generous 401K contributions
• Exempt associates qualify for our flexible paid time off policy
• Non-Exempt associates will receive 15 days of paid time off annually during the first three years of employment
• 11 Paid Holidays
• Option to participate in our Equity Purchase Program (Contract, intern, and part-time employees are not eligible)
• Future growth opportunities within the company

In addition, we work to maintain the best possible environment for our associates, where people can learn and grow with the firm. We strive to provide a collaborative, creative environment where each person feels encouraged to contribute to our processes, decisions, planning and culture.

Benefits are available to full-time associates who work more than 30 hours a week.

The above statements are intended to describe the general nature and level of work being performed by people assigned to this job. Typical reporting relationships are described, but actual relationships may vary in some instances. This job description is not intended to be an exhaustive list of all responsibilities, duties, skills, or knowledge required of personnel classified in this job.

Allworth Financial participates in E-Verify. Click here for more information.

California residents,click here for our privacy policy.