The CTS program provides guidance for when you have independently found your own buyer or seller. We can help you with negotiating, structuring the deal, form contracts, tax allocation, security / collateral, post-closing assistance and more.

The ISP program is designed for situations where you want to transfer your practice to an employee, a partner, or one of your children. We will provide you the information and expertise you need to create a deal that addresses everyone's needs and goals.

The CMP program helps you prepare for the future with a partner, shareholder or peer. Using our customizable form contracts, we’ll help you set up a continuity agreement, buy-sell agreement (for stock or assets), a right of first offer/opportunity, or an option to purchase, adaptable to your own circumstances.

If you have a great group of employees who want to be your successor one day, you might consider arranging for a continuity plan, and a continuity agreement, by creating and implementing a path to ownership so that you have, in essence, a partner, or another owner to stand in.

Succession planning is an ongoing process. It is about one generation building on the successes of the previous generation. But obtaining a great succession planning result for you, your family and your staff depends on the amount and quality of advanced planning that you put into the process.

Are you a captive / wirehouse rep or an employee new to ownership? We can help you start and develop an independent business that will bring you value and liquidity, and refer you to independent broker-dealers.

Studies prove that the most successful financial professionals are set up as either a corporation or a limited liability company – structures that allow for internal ownership tracks, equity recycling, and an on-going service model.