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While there is rarely a merger of equals, any business combination resulting in the “minor” party pooling interest into the “major” where equity in the combined entity results in a pro rata distribution of a non-cash interest, in our nomenclature it’s considered a merger.
Weighing the fair and equitable contribution of both parties from an AUM, GDC, infrastructure, liabilities, or even goodwill perspective, can often be improved upon using an independent third-party.
Our first merger of BD interest occurred in 1998 between Investors Choice Securities and Preferred Securities, which later was acquired via purchase by third party.
Nobody should leave the deal table with unending regrets concerning valuation for the enterprise. We can act as an objective third-party assessment group, or provide innovative ideas concerning earn-out and earn-in terms, prior to being reduced by counsel to legalese.
Post-merger lawsuits are normally a big waste of time, garnering at best hollow victories. Regulators care little about squabbles, unless it
results in information which reveals regulatory infractions… just don’t even go there! Get it right the first time.
While clearing correspondent considerations may be your starting concern, your eventual exit strategy should also be defined upfront.
For existing BD/RIA’s with an individual advisor desiring to retire, or sunset his/her book of business, we offer a proprietary trust which aligns the interests of you and that of your existing advisor. Let’s all celebrate the retirement without focus on future production loss. Such loss can be mitigated, while offering the advisor an easy path to exiting the industry.
Advisors Staffing can provide these ideas that the recruiting matchmakers haven’t likely considered. Coming “from the industry” to serve “the industry” gives us a leg-up on others offering their sort of service.
Contact us by registering online or contacting us by phone at 800-334-3442.