Mergers

• Sell-side advisory – Selling practice, succession planning, merging with another RIA firm to grow, or getting access to referral programs
• Buy-side advisory – Acquiring other RIA’s to fuel firm’s growth
• Strategic advice
• Retained acquisition searches
• Due diligence assistance

Reasons to Consider Mergers

As RIA firms increase in size, even the most successful firms face pressure to grow at the same rate; meanwhile expenses continue to increase and reduce margins. Remaining static is not an option for successful RIA firms.

Mergers can help enter new markets or distribution channels at discount brokerage firms, wirehouses and/or independents. Mergers can also attract new talent and strategies for your firm. They also help reduce firm costs such as technology, personnel, compliance, research etc.

Advisors in Transition

Investment advisors today have a wide range of options when it comes to their business infrastructure and how they set up their practice. In fact, many advisors don’t realize just how much freedom and choice they have in their business, nor do they know where to start in creating a business situation that meets their needs, goals and dreams. This is where RIA Growth can help.

Unlike traditional recruiting firms, RIA Growth starts by helping advisors objectively evaluate their needs and preferences to determine their ideal set up. With a thorough understanding of both the advisor landscape and the inner workings of broker dealers and RIA firms, we are ready to guide you to make the right decisions for your company.

Wirehouse advisors — For some advisors, a wirehouse broker dealer may be the better option. If you are considering moving to a different wirehouse firm, we can help you select the best firm to meet your specific needs and negotiate the best deal for you.

Going independent – Advisors may choose to go independent for a host of different reasons – higher payout, freedom, flexibility – and we can help you determine if you are making a move for the right reasons. If going independent best meets your needs, then we can help you determine which independent broker-dealer has the systems, product and services to match your business. We can also determine if joining an existing OSJ branch or RIA, or becoming a hybrid makes sense for you. We’ll also work closely with your new firm to negotiate the best deal for you.

Transitioning to an RIA firm – As broker dealer firms and advisory businesses evolve, advisors sometimes find that their broker dealer no longer meets their needs. We can help you select and transition your book of business to an RIA firm that will be the most appropriate partner for you to meet your needs over the long term, and to negotiate the best deal for you.

Start and grow your own RIA firm – If you are setting up and growing your own firm, we can help you build it from the ground up. We’ll help you put the right systems, procedures and staff in place. We’ll also help you smoothly transition your book of business. If you choose, we may establish an ongoing consulting relationship with you to help you maintain and grow your business over the long term.

Growth Solutions

We can help you determine the right structure for your firm, whether it’s to bring your book of business to a new broker dealer, join an existing RIA or start and grow your own RIA firm. We can guide you through establishing the right infrastructure, hire and set up your sales teams and staff and connect you with M&A and tuck-in opportunities. Finally, we can help you with your succession plan and help you implement your exit strategy when the time comes. We understand that each firm is unique and offer tailored consultative services to help determine the best strategic plan to reach your goals.