Financial Advisor Planning & Documents:
Properly Establishing a Financial Advisory Business

Recently Released!!!
Date Published: February 7, 2016
Summary Power Point Deck: 27 Slides
Reference Power Point Deck: 111 Slides

The purpose of this research is to provide readers with an understanding of financial advisor planning & documents, including business plans, legal business structures & incorporation methods, operating &/or partnership agreements, business registrations, professional liability insurance (errors & omissions insurance), & business taxes. Each of these topics a has dedicated Tiburon research page and this page serves to summarize the highlights of these topics. Other Tiburon research topics address Financial Advisor Benchmarking and Financial Advisor Succession Planning & Acquisitions. And yet another Tiburon research topic addresses financial services firms' planning & documents.

This research begins with a review of the evolution of financial advisor planning & documents, including their history across these phases:

  • Early Phase
  • Haphazard Phase
  • Formalization Phase

This research incorporates highlights from Tiburon's underlying research topics, including:

  • Financial Advisor Business Plans
  • Financial Advisor Legal Business Structures & Incorporation Methods
  • Financial Advisor Operating &/or Partnership Agreements
  • Financial Advisor Business Registrations
  • Financial Advisor Professional Liability Insurance (Errors & Omissions Insurance)
  • Financial Advisor Business Taxes

This research supports several conclusions, including:

    • Increasing Use of Financial Advisor Business Plans & Marketing Plans
    • Evolving Financial Advisor Incorporation Methods
    • Increasingly Sophisticated Financial Advisor Operating Agreements &/or Partnership Agreements
    • Increasing Importance of Financial Advisor Errors & Omissions Insurance

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