PRACTICE INFORMATION

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This Orange County, CA RIA practice seeks a buyer to provide financial planning and wealth management services to 73 client households. The seller uses a variety of mutual funds and ETFs to build client portfolios, customizing with individual stocks by client request, and does not employ a third-party asset management platform. The practice’s current annual revenue is $370,492. Approximately 25% of $141 million in AUM is held in accounts that involve multi-generational planning.

An interested buyer should be a fee-based or fee-only RIA that takes a nurturing approach to fostering client relationships. Potential buyers should have a local presence as half of in-person meetings currently take place at clients’ homes. There are no staff members or office locations to be maintained as part of sale. The preferred buyer would have at least one staff member with the Certified Financial Planner® designation.

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