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Empowering Clients Through Independent Financial Guidance

What Financial Independence Means

As independent financial professionals of Cambridge Investment Research (Cambridge), our Registered Investment Adviser (RIA) and Broker-Dealer (BD), we have the flexibility to focus on what matters most—your unique financial goals and long-term success.

Financial independence means we are not tied to proprietary products or a single investment lineup. Instead, we can offer strategies and solutions tailored to each client’s unique needs.

Through our relationship with Cambridge, we operate as Registered Representatives and/or Investment Advisor Representatives, giving us access to investment platforms, compliance oversight, and trading infrastructure while maintaining the freedom to serve clients objectively.

Understanding Our Structure

KAZ Advisors Group: Independent Financial Professionals, Registered
Representatives and/or Investment Advisor Representatives of Cambridge

As investment advisor representatives, we provides financial guidance to our clients for a fee for either managing assets and/or giving investment related advice, and are regulated through a registered investment adviser (RIA).
As registered representatives, we are licensed to sell securities, provides financial guidance to our clients, and may be paid a commission when a financial product is purchased, and is regulated through a broker-dealer.

Cambridge: RIA and Broker-Dealer

Cambridge is the nation's largest privately held independent broker-dealer, headquartered in Fairfield, Iowa. As of March 31, 2026, Cambridge supported a network of more than 4,100 producing financial advisors nationwide.
As our RIA, Cambridge processes the fee based business of IARs licensed with the firm and holds certain responsibilities for regulatory compliance and adherence to securities law.
As our BD, Cambridge facilitates the buying and selling of securities on behalf of the registered representatives licensed with the firm and holds certain responsibilities for regulatory compliance and adherence to securities laws.

TAG Advisors: Office of Supervisory Jurisdiction (OSJ)

As our OSJ, TAG provides an additional layer of professional oversight and support between our practice and Cambridge.
How TAG Supports Our Practice
- Compliance Oversight & Guidance
  Helping ensure adherence to regulatory standards and best practices
- Business & Practice Support Tools
  Technology platforms and operational systems to enhance efficiency
- Financial Planning & Practice Development Resources
  Support for scaling services and improving client experience
- Administrative Assistance
  Streamlining workflows, documentation, and reporting processes
- Tax & Planning Support Resources
  Tools and guidance to enhance financial planning accuracy and depth

Custody and Clearing Firms

Client assets and transactions are supported through custody and clearing firms, which
provide essential back-office financial infrastructure.

Primary Custodians and Clearing Partners

Pershing LLC
Fidelity Institutional Wealth Services
Fidelity Custody & Clearing Services
Schwab

What They Do

These firms are responsible for:

Custody of Assets
Safekeeping of client securities and cash in regulated accounts.
Trade Execution & Clearing
Processing and settling trades after they are placed.
Recordkeeping & Reporting
Maintaining accurate account statements, tax documents, and transaction
histories.
Operational Infrastructure
Supporting account maintenance, money movement, and administrative
processing.

These custodians do not provide financial advice. Instead, they serve as the secure infrastructure behind the movement and safekeeping of client investments.

Our Commitment to Clients

Our structure is designed to combine:

The client-first approach of independent financial professionals
The infrastructure of the largest privately held broker-dealer in the nation
The support of an experienced OSJ enterprise group
The safety of institutional custodians

This allows us to remain focused on delivering clear, objective, and personalized financial guidance.

Working With UsEmpowering Clients Through Independent Financial Guidance