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Succession Planning For Financial Advisors

David Grau Sr., JD & the FP Transitions Team • Wiley Finance • 2014

Being an independent financial services professional necessarily implies a commitment to a profession that surpasses a single career; the element of "planning" implies that you're starting something that will not and should not end with your own career. Yet that is exactly what is going to happen to 99% of the financial services practices in this country. Now is the time to address the question of what will happen to your practice and your clients after you "exit the building."


For many independent advisors, succession planning is quickly becoming the cornerstone to a strategic growth strategy designed to perpetuate their business and income streams beyond their own lifetime. This makes succession planning one of the most, if not the most, important practice management tools in this industry today.


There are three simple reasons why you need a succession plan and why you need to start on it now: It is the best way to realize the value of what you've built; it is the best way to recruit next-generation talent to grow your business; and it is the best way to preserve and protect your business, your team, and your clients.

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Course Corrections for Your Succession

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Destabilizing Value with Revenue Sharing

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Remodeling Cash Flow

Buying, Selling, & Valuing Financial Practices

The FP Transitions M&A Guide

David Grau Sr., JD & the FP Transitions Team • Wiley Finance • 2016

Complete a sale or acquisition of a financial advisory practice and have both the buyer and seller walk away with the best possible terms. From the first pages, buyers and sellers and merger partners will find detailed information that separately addresses each of their needs, issues and concerns.


This guide takes you from the important basics of valuation to the finer points of deal structuring, due diligence, and legal matters, with a depth of coverage and strategic guidance that puts you in another league when you enter the M&A space.


Buying, Selling, & Valuing Financial Practices will ensure that you manage your M&A transaction properly and professionally, aided with the most powerful set of tools available anywhere in the industry, all designed to create a transaction where everyone wins—buyer, seller, and clients.

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The Basics You Need to Know

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Solving Valuation

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Considering Key Staff

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Non-Advocacy Support

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