Financial Advisor Succession Planning:
A Step-by-Step Succession Planning Process

Recently Released!!!
Date Published: March 2, 2017
Summary Power Point Deck: 28 Slides

Reference Power Point Deck: 406 Slides

The purpose of this research is to provide readers with an understanding of the key steps to financial advisor succession planning. The research starts with a key driving factors chapter addressing the importance of succession planning, the propensity to have succession plans, & the challenges surrounding succession planning. The core of this research then offers a step-by-step succession planning approach. This research compliments Tiburon's research on the Financial Advisor Sale Process, which provides a step-by-step process for selling a financial advisory business, and its research on Financial Advisor Mergers & Acquisitions, which focuses on past transactions, and together these three topics support Tiburon's research on Financial Advisor Succession Planning & Acquistions.

This research starts with key driving factors, including:

  • Succession Planning Importance
  • Succession Planning Propensity
  • Succession Planning Challenges

This research addresses three historical phases, including:

  • Haphazard Phase
  • Clarification Phase
  • Maturization Phase

This research offers a step-by-step process for financial advisor succession planning, including:

  • Identify Appropriate Financial Advisor Coaches who Focus on Succession Planning
  • Clarify Objectives
  • Obtain Business Valuation
  • Consider Alternatives
  • Execute Internal Transition (if Chosen)
  • Execute Fallback Business Continuity Plan

And this research makes several predictions, including:

  • Financial Advisor Succession Planning to Demand More Attention
  • Wirehouses, Regional Broker/Dealers, Independent Broker/Dealers, & Custodians to Treat Issue as Crisis or Opportunity

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