Succession Planning for Financial Advisors + Website Building an Enduring Business

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  • Edition: 1st
  • Format: Hardcover
  • Copyright: 2014-06-23
  • Publisher: Wiley
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Supplemental Materials

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  • The New copy of this book will include any supplemental materials advertised. Please check the title of the book to determine if it should include any access cards, study guides, lab manuals, CDs, etc.


Plan today for the eventual transfer of your independent financial services firm

Building a successful financial planning business is about industry knowledge, a strong commitment to performing fiduciary duties, and a steadfast determination to offer clients the best service possible. Many have found success as independent financial service professionals, the vast majority of which are single-owner practices. If you are one of these successful financial planning professionals, there may be one element of your business that you have been ignoring for too long – namely, succession planning. In his book Succession Planning for Financial Advisors, former securities regulator and attorney David Grau, Sr. illustrates why modeling single-owner independent financial service companies as traditional businesses can be advantageous.

Author David Grau, Sr. has extensive experience in the very real world of structuring financial planning practices, building businesses, and creating transferable value. Here, Grau explores the notion that an independent financial consultancy should survive the end of its initial and subsequent owners' careers. Grau also explains the concepts of creating a succession plan that intentionally transfers the equity and client relationships to another advisor or another firm upon retirement, with details about how best to assemble such a plan.

  • Learn why it is important to treat your financial planning practice as a business and not merely a "job"
  • Find out how succession planning can add value for your clients
  • Discover concepts like practice valuation, benchmarking, and "equity management"
  • Explore restructuring of owner compensation to develop ownership tracks

Succession Planning for Financial Advisors is the perfect resource for independent financial representatives and financial advisors who are seeking to build a business rather than just a career.

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