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

Recently Released!!!
Date Published: August 24, 2021
Summary PowerPoint Deck: 67 Slides
Reference PowerPoint Deck: 401 Slides

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

This research starts with some context setting around financial advisor succession planning, including:
  • Succession Planning Importance
  • Succession Planning Propensity
  • Succession Planning Challenges
This research addresses the key historical phases of financial advisor succession planning, including:
  • Haphazard Phase
  • Clarification Phase
  • Maturization Phase
This research offers a step-by-step process for financial advisor succession planning, including:
  • Clarify Objectives
  • Obtain Preliminary Business Valuation
  • Consider Alternatives
  • Execute Fallback Business Continuity Plan
  • Execute Succession Plan
And this research makes several future predictions for financial advisor succession planning, 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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