22-397 Headers and Charts22-397 Headers and Charts219-251-header2

This well-established, highly profitable, 100% fee based RR/IAR in New York, offers comprehensive financial planning and wealth management to a dedicated following of clientele. With an average tenure of 30+ years, a close relationship has been established with the clients and their children with multi-generational planning; the 48-households are made up of high-net-worth business owners, professionals, and those in the creative field. They are provided with well researched, customized advisory services, utilizing mutual funds, indexed annuities, and 3rd party managers. Clients are encouraged to actively participate in the investment process to develop an understanding of the recommendations made, reinforcing their comfort level that they will be well advised and assisted in achieving their financial goals. Additionally, the firm also has an excellent referral source from a local CPA firm, as well as relationships with clients’ accountants and attorneys, for more complex financial planning.

The ideal acquisition partner for this Corporation is a highly experienced, full-service financial advisory firm, with an established presence in New York and New Jersey. The Advisory firm should have a demonstrated track record of tailoring their services to the individualized needs and goals of each client, a willingness to provide a high level of personal attention and customer service, as well as creative solutions to help clients reach their financial and life goals. The partner firm must be detailed oriented, have at least 15 years of industry experience, and willing to meet in person with a few of the high net-worth clients in New York and New Jersey. While not mandatory, affiliation with Commonwealth Financial Network would be helpful.

The founder of this Corporation is looking to retire and will help the acquiring firm in transitioning clients, to maximize retention. The highly skilled executive assistant, who has been with the firm for 11 years, has an excellent relationship with clients, and desires continuity of employment with the acquiring firm post-sale.


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