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Financial Planning November 1, 2007 David Grau	Protecting Equity As independent advisors move to evaluate, build and realize the equity in their growing practices, one holdover succession practice threatens to undermine their progress.
Financial Advisor December 2009 David J. Drucker	Solo Replacement Finally a (nearly) foolproof succession game plan for 85% of the profession.
Financial Planning August 1, 2008 David Grau	Worthy Successors In the financial services industry, the general term "succession planning" describes any number of plans to deal with an owner's departure from the business.
Financial Advisor October 2010 David Lawrence	A View From Both Sides To successfully retire, financial advisors have to carefully plan and develop a clear direction before taking action.
Investment Advisor August 2007 Thomas D. Giachetti	Internal Medicine Because of the "graying" of the industry, it is increasingly important for advisory firms to consider succession planning issues, whether via internal succession or an external acquisition or sale. Critical to any successful succession is having the appropriate underlying documents in place.
Financial Advisor June 2012 Karen DeMasters	Succession Survival Guide Advisors plan for their clients' futures but often ignore their own.
Registered Rep. March 30, 2011 Matt Matrisian	Bridging the Succession-Planning Gap Too many advisors need help planning their financial futures. Today, only about 18 percent of independent advisors have a well-defined business succession plan that is ready to implement.
Investment Advisor July 1, 2011 John Sullivan	Finding Success in Succession Planning Whether you're affiliated with a broker-dealer or completely independent as an RIA, proper succession planning helps you realize value long before you walk out the door.
Investment Advisor September 2010 Mark Tibergien	Formulas For Success: Soul Mates, or Marriage of Convenience? When considering an advisory firm merger, get to know your potential partner.
Financial Advisor September 2006 Kristofor R. Behn	Seller Beware Is selling a financial planning practice to an outsider the best way to extract its true value?
Registered Rep. February 25, 2013 Furey & Cooper	What Is Your Advisory Practice Really Worth? The perils of the valuation gap.
Financial Advisor July 2012 Jim McConville	New Firm Makes Value Judgments Started in January, Fort Collins, Colo.-based Eighty20 Advisors LLC specializes in helping companies -- including small financial advisor firms -- receive their optimum value for either a succession or an outright sale to another company.
Financial Advisor September 2006 David J. Drucker	One Is The Loneliest Number Being a sole financial advisory practitioner is great -- until it's time to sell your practice.
Registered Rep. July 24, 2014 David Grau Sr.	Charting Your Succession Course The author delineates the usual alternatives for selling an advisor practice.
Financial Advisor October 2004 Chaplin & Giachetti	Contingency Planning And Rule 206(4)-7 What must a financial advisor do to comply?
Financial Advisor November 2012 Joni Youngwirth	From Solo To Silo, From Ensemble To Enterprise Firms evolve for many reasons. What kind of firm is yours?
Investment Advisor May 1, 2011 Mark Tibergien	The Constituency Conundrum How will your business decisions impact those who rely on you?
Investment Advisor December 2006 Charles Goldman	Do It Now; Do It Right It's important for financial advisors to look ahead and ask the question: How do you plan to exit the business? If you're not sure, it's time to consider your options -- sell externally or internally -- and create a business transition plan that spells out the future of your firm.
Investment Advisor July 2010 Lewis Schiff	Succession Planning: Buying and Selling Wealth Management Practices 2010 could be the biggest year ever for mergers and acquisitions in the financial advisory industry, but the players and strategies are different than they were prior to the market turndown.
Investment Advisor July 2010 David DeVoe	Succession Planning: Planning Your Future Tips for financial advisors on choosing a successor, valuation, informing clients, etc.
Financial Advisor October 2011 Joni Youngwirth	The Replacements The pros and cons of choosing an internal successor.
Financial Advisor March 2012 David Lawrence	Consolidation Quickens Advisors are increasingly turning to others to increase service and decrease costs.
Financial Planning October 1, 2009 Martin M. Shenkman	Succession To-Do List Succession planning is a vital component of every estate and financial plan for every professional client and business owner. Here are ten succession planning tips.
Investment Advisor March 2010 Mark Tibergien	Formulas for Success: What's a Young Advisor to Do? There is evidence that young advisors feel stymied in their efforts to acquire interests in their firms.
On Wall Street April 1, 2012 Denise Federer	Are You A Succession Saboteur? Adjust your plan as necessary so that you can fulfill your commitment to securing not only your future, but the future of the people that you care about: your clients, your team and your family.
Financial Planning September 1, 2006 Stephanie Bogan	The Boss Can't Let Go Why your senior advisor is dragging his feet about turning over the reins of the financial advisory firm -- and what you can do about it.
Registered Rep. October 30, 2014 Philip Palaveev	To Ensemble or Not To Ensemble Thousands of advisors are negotiating the combination of their practices with others in order to create scale, leverage each other's skills, gain resources, and tackle succession.
Investment Advisor March 2009	The Shoeless Cobbler There are many common issues, both personal and professional, that are keeping today's advisors from properly preparing for their own retirement and succession planning.
Financial Planning January 1, 2007 David Grau	The Impact of Taxes When it comes to taxes, financial services practice succession isn't always well planned. What you don't know can hurt you, at the worst possible time.
Investment Advisor December 2005 Bob Clark	Why Bigger is Better This compensation and staffing study offers a preview of how financial advisory firms will be different five or 10 years from now.
Investment Advisor July 2010 Olivia Mellan	Succession Planning: Pass It Forward The angel is in the details when it comes to the tricky business and interpersonal issues of succession planning.
Investment Advisor March 2009 Kara P. Stapleton	Succession & Valuation A Financial Services Institute OneVoice Broker/Dealer session dealt with internal succession, discussing the steps that advisors and independent broker/dealers need to take when developing a succession plan.
Financial Planning September 1, 2007 Elizabeth O'Brien	Advisor Pulse Advisor, advise thyself! A recent survey finds that most advisors did not understand the market value of their business or have a succession plan.
Financial Planning March 1, 2007 Tere D'Amato	Buy-Sell Review If your financial advisory clients are business owners, updating their buy-sell agreements should be a regular exercise.
Investment Advisor March 2006 Mark Tibergien	Formulas for Success: Preparing for the Fall Are you succeeding at succession? This question increasingly comes up as advisors see each month flip away, and each year change a digit. In the autumn of your career, are you prepared for the inevitable?
Investment Advisor January 1, 2011 Mark Tibergien	The Day You Call It A Day The majority of advisors who wish to retire in three years are no more prepared for their exit from the business than those who plan to retire in 10 years.
Financial Advisor May 2008 Rebecca Pomering	Adding New Owners Internal transition is the desired growth plan and succession plan for the vast majority of advisors and good planning, strategic thinking and thoughtful implementation will allow many to enact a transaction that ensures the desired outcomes for their staff, their clients and themselves.
Investment Advisor October 2007 Bob Clark	Difference of Opinion A debate about a major issue facing many advisory firms, namely, the conflicting interests they must wrestle with when deciding how to handle defecting advisors who leave the firm, taking clients with them.
Financial Advisor April 2005 David J. Drucker	Moving On How financial advisory firms are dealing with planners who leave, and take clients with them.
Financial Planning March 1, 2011 Roger Verboon	Succession Planning: Moving on Advisors excel at helping clients plan for the different stages of their lives. But when it comes to planning for stages of their own business lives-particularly the last one-many fail to take their own advice.
Investment Advisor October 2010 Angela Herbers	Show Yourself the Money Advisors need to learn to pay themselves first
Registered Rep. September 26, 2014 Mindy Diamond	Take the Sunset Package or Sell the Business? For employee advisors, exploring your firm's sunset program might be a sound way to face retirement.
Investment Advisor July 2010 Robert F. Keane	Succession Planning: You've Got To Have A Plan Case studies of five advisors who have made succession planning a priority.
Financial Advisor August 2007 Jeff Schlegel	Private-Equity Payout The private-equity tsunami that's sweeping the investing world isn't exactly inundating the financial advisory industry, but it is making waves.
Investment Advisor April 2007 Thomas D. Giachetti	First, Hold On to Your Clients Before selling your investment advisory firm, make sure restrictive covenants are in place.
Investment Advisor October 2008 Dan Inveen	The Architects The best firms focus their business planning on the here and now, which makes their futures much brighter.
Financial Planning September 1, 2008 John J Bowen Jr	Time to Say Goodbye Today's most successful advisors recognize a simple but powerful fact of business: It's better to work with a small number of great clients than to serve a huge base of clients who are only mediocre.
Investment Advisor September 2005 Bob Clark	Clark at Large: Can't Tell a Book... For all its flaws, Mark Hurley's new treatise, Back to the Future: The Continuing Evolution of the Advisory Business, offers advisors some valuable insights.
Financial Advisor October 2010 Michael Patrick Jacobs	Investors Demand More This advisor provides highlights of what he's found clients today are looking for when they seek advice.
Financial Advisor June 2006 Cort Smith	Focused On Big Focus Financial has become one of the largest RIAs only months after it opened its doors. Founder Rudy Adolf says they're just getting started.