When Financial Advisors start a business, the last thing on their minds is succession planning. Most business owners spend a lot of time – as they should – on Operations Plans, Marketing Plans, Capital-spending Plans, Maintenance Planning, Staffing Plans…and more. But what about Succession Planning? Wouldn’t you like an orderly “exit” from the business, once it’s time for you to take a back seat?


You’ve built your business through sweat, toil and tireless effort. For most Financial Advisors, their business operations represent a legacy that they’d like to leave to the next generation. And what would happen to the business in the event that you are suddenly incapacitated – is there someone reliable that can step into your shoes? Have you thought about the clients that depend on the services your company provides – who would service their needs if you are not around?

Without a proper succession plan in place, family strife and internal (company) politics would threaten the future of the firm as a going concern.

There are far reaching repercussions for not having a well-thought-out succession plan. Unfortunately, all of them are not too pleasant for the business, the business owner, his/her beneficiaries and the employees working for the company.



Simply put, our succession plan provides Financial Advisors peace of mind – the kind that comes from knowing you are well-prepared to relinquish control or retire. And we do that by ensuring that the stewardship of the business passes into hands that are designated to handle the transition.

Our team has successfully transitioned and acquired 8 previous acquisitions. We have a process in place to ensure a smooth transition for new clients as well as the retiring Financial Advisor. We have a team approach, which makes the transition smoother with the capacity and scale to grow. Our commitment is to ensure your clients have a smooth and successful transition. Contact us to learn more about succession planning.