Solutions

Transition Advisory Group

This solution is for Financial Advisors who want to transition to a more suitable Broker Dealer or RIA.  Typical projects range from 30 – 120 days.

• Step 1 – Evaluation of Advisors current business model and mapping that model to the market of Broker Dealer and RIA platforms.  High-level screening in tandem with you, the advisor to confirm business and cultural fit for short and long term business objectives.
• Step 2 – Firm introductions, information screening and travel coordination.
• Step 3 – Comparison study and identification of most suitable business partner.
• Step 4 – Contract review, negotiation and closing.  

*  Post-transition interview at 6 and 12 months to confirm suitability and to provide feedback to BD & RIA partner.

Practice Advisory Group

This solution is for Financial Advisors, Registered Investment Advisors and Broker Dealers.  Typical projects range from 60 - 365 days.  

• Broker Dealer Consulting
• Competitive Analysis
• Mergers & Acquisitions
• OSJ Development
• Outsourced Recruiting
• Practice Management
• Advisor Training Program
• Creative Marketing
• Market Research 

Succession Planning

This solution is for independent Financial Advisors who are interested in locating a successor for their business.  Typical projects range from 90 – 180 days.  This service is most suitable for single advisor offices, where there isn't currently a backup option to service the client relationships.  The minimum GDC/Advisory Revenue to qualify for this service is $250K.  The client must be within 3 years of their target exit from the business.  We will consult on the landscape, determine an execution strategy, facilitate introductions and identify fair market values for each practice.