Who We Are
Ni Advisors is a broker-dealer founded in 2005 by its owner and Managing Member, Suihock Goy, who is an owner operator and has over 25 years of experience in the financial industry. Ni Advisors is a registered broker-dealer with the Financial Industry Regulatory Authority (FINRA) and operates business in 29 states as both a broker-dealer and a registered investment advisor (RIA). Free and simple tools are available to research our firm and our financial professionals at FINRA BrokerCheck.
Our Financial professionals are independent, entrepreneurial, and are driven to seek out the best financial solutions and services to our clients. Ni Advisors has aided its financial professionals find their path to success by delivering a flexible platform, leading financial and investment products that allows each registered representative to tailor a custom solution for each of their clients.
Our vision has been to provide our registered financial professionals with all the tools needed to serve their clients throughout all of life’s stages, build their practice, and grow as a company together. We serve our clients well by placing their needs before our own and we pride ourselves in customer service. By doing so we build strong, long-lasting relationships with our clientele and find it necessary to make sure they understand the different securities our financial professionals use to build and secure wealth.
Our goal is to grow our network with those who share the belief that a sound financial plan includes personalized solutions for preservation of capital, wealth management, and the due diligence to participate and structure solutions for the independent broker-dealer channel.
Ni Advisors has built a long list of strategic partners that allows our representatives to offer a wide range of investment solutions that are unique, sound, and handpicked to fulfill clientele needs. These solutions consist of Structured Notes, Alternatives Investments, Annuities, Mutual Funds & ETFs, as well as your typical stocks and bonds.
By incorporating key investing concepts such as evaluating investment performance, asset allocation, diversification, rebalancing of a portfolio, and investment risk we believe our team of professionals can support your business.
The Ni Advisors Difference
Ni Advisors representatives manage just over $500mm in assets under management with a large presence in California where our headquarters is located in Milpitas California, however you can find our representatives all across the United States.
We pride ourselves in offering a wide range of financial tools to our representatives, including a plethora of Alternative Investments that are not offered to the general public. Over the past three years our financial professional have raised over $100mm in Alternative Investments, allowing even better products to come to us. This has led to Ni Advisors becoming a managing broker-dealer. In the earlier months of 2021 we brought on talented individuals who make up our Capital Markets Team that have since brought on two sponsors that we have taken products to the market for and have built their offering from start to finish.
We Offer:
Ni Advisors utilizes a plethora of business lines, allowing us to offer the complete financial package in many ways. As a Managing Broker Dealer we work with first time and existing sponsors, from the underwriting stage to the marketing and fund raising stage, offering a range of alternatives to both our own advisors and their clients as well as broker dealers within our selling groups. As a broker dealer, we offer a home to financial professionals that share similar values as ourselves and give them a platform to run their business in an entrepreneurial way.
Transitioning to Ni Advisors
Whether you’re an advisor looking for a new platform to run your business, a client looking for unique investment opportunities that can only be found through the independent broker dealer channel, or a company looking to raise capital, we do our best to serve the needs of the individual. By focusing on each individuals needs, this allows for a quick and seamless transition to our broker dealer and post transition provides the support needed to be successful.
Executive Team
Sui-Hock Goy
CEO, Founder
Mr. Goy founded Ni Advisors, Inc. in 2005 and serves as the President of the firm. After graduating from the University of California at Berkeley, he worked in the U.S. Transportation Government and URS Corporation. In 1998, his first role in the financial industry was with Morgan Stanley where he acted as a financial adviser and became one of the top representatives for the firm in the state of California over the course of the next 5 years. In 2003 he parted ways with Morgan Stanley and worked on founding his own firm, Ni Advisors, which is a full service broker dealer located in the Bay Area. Mr. Goy currently holds the following securities licenses, series 7, 14, 24, 27, 53, 63, 65 and 66.
Operations
Cindy Folger
Senior Operations Manager
cindy.folger@niadvisorsinc.com
707-236-0724
Cindy Folger is a Senior Operations Professional with over 40 years of extensive experience and knowledge in the Financial Services industry. Prior to Ni Advisors, Cindy also worked at some of the largest firms in the industry such as Fidelity Investments, UBS and started her financial services career at Merrill Lynch. Recognized for building trust with clientele, Cindy is responsible for providing client service, operational support to advisors and their administrative staff.
Strategic Partnerships
Shipp Compliance Consulting
Steve Shipp, CRCP
steveshippconsulting.com
steve@steveshippconsulting.com
Helene Berson, CFO
Helene Berson Postrel, FINOP
hbersoncpa@gmail.com
Ni Advisors 