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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 Planning September 1, 2009 Hamburger & Walter	The Missing Piece Succession issues arise with every business, but they're more personal and are subject to more emotions in an entrepreneurial, closely held, professional services firm.
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.
Financial Planning June 1, 2010 Daniel Seivert	Transfer of Power Fewer than 10% of practice owners have developed formal succession plans. Isn't it time you put one in place?
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.
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.
Investment Advisor May 1, 2011 Mark Tibergien	The Constituency Conundrum How will your business decisions impact those who rely on you?
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 Advisor July 2011 Shelley A. Lee	Passing The Torch According to the old African proverb, it takes a village to raise a child. The same sentiment could be applied to "raising" a network of advisors. But what happens when the village elders retire?
On Wall Street August 1, 2009 Denise Federer	Succession Planning: The First Step in Preserving Your Legacy Do you have a formal plan to prepare your successor and ensure the continuity of your financial practice? Or are you one of the 65% of business owners who haven't planned that far ahead?
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?
Financial Advisor June 2010 Simonoff & Rasmussen	Tall Task Building an in-house business consulting group, Derek Bruton is trying to help advisors at LPL adapt to the Darwinian business climate.
Registered Rep. June 1, 2004 John Churchill	Keeping Family Businesses in the Family It's not news that mixing family and business can be messy, but advisors might be surprised to know the extent to which family-owned businesses need their services.
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 2008 Angela Herbers	One Small (Big) Step The advisory industry has taken a giant leap forward in the past year. Attendees at this year's FPA NexGen conference clearly have made progress at getting small pieces of equity in their firms.
Financial Planning October 2, 2007 Elizabeth O'Brien	A Dynasty of One's Own When family wealth comes from a family business, the planning can get personal. Here's what financial advisors need to know.
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. June 5, 2012 Mindy Diamond	The Road Less Traveled An unusual story about a financial advisor who left an independent b/d to join a Wall Street firm.
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.
Financial Planning July 1, 2012 Ann Marsh	Think Small to Land Big Advising clients about their small businesses is not for the control freak, the timid or the egocentric. But for planners who venture into this terrain, working with entrepreneurs may provide some of the most satisfying experiences - financially and emotionally - of their careers.
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.
Registered Rep. December 1, 2004 Anne Field	Planning for the Handoff Despite the obvious importance, for most small-business owners, careful planning of whom to turn the business over to and when to do it is just about the last thing on their minds. Advisors must persevere to get this job done.
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?
Financial Planning May 1, 2008 Jeanne Lee	Protection Money Financial planners can cement their position as trusted advisors to small business owners by starting conversations about succession plans that provide a legacy for their families.
Financial Advisor June 2008 Tracey Longo	Swimming Upstream California investment advisor John Threlkeld has been working diligently to serve wealthier and wealthier investors, even purchasing two other advisors' practices and turning all but his top clients over to a junior planner.
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.
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.
Financial Advisor January 2012 Bruce W. Fraser	Full Steam Ahead What could have been a sad chapter for Securities America now seems to be a new lease on life for the firm.
Financial Planning November 1, 2008 Stacy Schultz	Today's Business Owner A new study shows that business owners represent 37% of high net worth households and nearly one-third of retirees. These wealthy entrepreneurs present unique challenges to advisors.
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.
Financial Advisor December 2009 David J. Drucker	Solo Replacement Finally a (nearly) foolproof succession game plan for 85% of the profession.
Financial Planning May 1, 2010 Bob Veres	A Profession Comes Of Age As the planning profession reaches maturity, motive and opportunity seem to be conspiring to create a better professional world.
Financial Planning January 5, 2008 Mark Penske	Land of Uncertainty Although it can seem like an impossible task to find the right successor for your financial advisory business, stories and experiences from those who have crossed this line confirm that there is life after the big decision, both short and long term.
Financial Advisor November 2008	Frontline News News for the Financial Industry: Tumult Could Expand Ranks Of RIAs... M&A Activity Remains Healthy... Independent B-Ds: Don't Tread On Us... Who Has The Most Satisfied Advisors?... The Business Of Serving Business Owners... etc.
Registered Rep. January 1, 2005 John Churchill	Nothing Succeeds Like Succession Whatever type of succession plan you create, you're really creating a growth plan, providing for continuity of the business and for clients. Advisors need to see it that way, instead of an end or an exit.
Registered Rep. June 18, 2014 Matt Oechsli	Building a Multigenerational Wealth Management Team The most common exit strategy for a veteran advisor getting ready to retire is to sell his or her book according to the guidelines established either by their firm or industry valuations standards.
Financial Advisor August 2012 Karen DeMasters	The Great Migration Though they aren't moving as fast as they were a few years ago, advisors are still in play for independent broker-dealers.
On Wall Street April 1, 2013 Lorie Konish	Five Questions with Matt Matrisian The director of practice management at Genworth Financial offers advisors tips on avoiding common blind spots.
Registered Rep. March 1, 2007 Ayres & Jones	It Takes a Team When helping a family-owned business develop a succession plan, the financial advisor must act as the quarterback (checking his ego at the door) to get all the right people to cooperate.
Registered Rep. December 29, 2010 Anne Field	Succeeding At Succession A quarter of firm owners lack an exit plan, according to a 2009 survey by Rydex/SGI's AdvisorBenchmarking. And more than one-third don't have a timeline for when they're going to leave the business.
Financial Planning August 1, 2011 Donna Mitchell	Ready to Commit Omaha, Neb.-based Securities America is one of Ameriprise's five broker-dealer subsidiaries. That Ameriprise, based in Minneapolis, announced its intention in March to sell the independent broker-dealer without a buyer lined up is also unusual.
Financial Planning May 1, 2012 Glenn G. Kautt	Transitions A few years ago I surveyed nearly 1,500 business owners about succession planning. One quarter - working as individuals and billion-dollar revenue firms - told me their succession plan was to die at their desks! Does this sound familiar?
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.
Registered Rep. July 12, 2010 Christina Mucciolo	The Rise of the Super OSJ It's a great time to be a Super OSJ -- the extra large offices of supervisory jurisdiction, or independent b/d branches that both supervise and provide consulting and business services to other independent advisors for a fee.
Financial Advisor October 2011 Joni Youngwirth	The Replacements The pros and cons of choosing an internal successor.
Financial Advisor September 2004 Grove & Prince	How U.S. Small Business Owners Find Their Advisors Referrals and trustworthiness are key elements for financial advisors in gaining this high-end business.
Registered Rep. December 13, 2011 Charles Paikert	What Advisors Should Know About the Small Business Owner Market The good news: 50 percent of small business owners could use an advisor, and the best prospects, according to the survey, are women, younger owners, and owners who are thinking about retiring.
Financial Planning April 1, 2013 Ann Marsh	Succeed With Small Business Clients It takes a team to serve small business clients - so make sure you know how to be a strong quarterback.
Investment Advisor July 2010 David DeVoe	Succession Planning: Planning Your Future Tips for financial advisors on choosing a successor, valuation, informing clients, etc.
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.