Firms Formation and Structuring for Advisors and Financial Businesses
Protect Personal Assets. Share Equity Without Restructuring. Keep Your Options Open for a Sale.
An Entity Is Not a Filing. It Is a Strategic Tool.
Structure Designed for Long-Term Evolution.
Entity formation carries legal, tax, and governance consequences that extend well beyond initial registration. Ownership configuration, documentation standards, and compliance alignment have to be coordinated before anything gets filed, because the decisions made at setup determine how cleanly equity can transfer later, how much flexibility you keep when circumstances change, and how well the business holds together when it matters most.
SRG treats entity work as infrastructure design rather than document preparation. You work with one lead consultant, supported by in-house tax and legal expertise, from the first conversation through signature and implementation. We coordinate directly with your tax professional, so the structure is right on paper and in practice.
The result is an entity framework that protects ownership, supports governance clarity, and evolves with your firm rather than constraining it.
Services at a Glance
One-Time Formations
For advisors forming a new entity or restructuring an existing one. You receive personalized entity formation and governance documents designed to align ownership structure, protect enterprise value, and support long-term strategic flexibility.
One entity creates protection. Two creates architecture. For RIAs and firm owners building toward equity transitions, succession, or long-term growth, Entity² forms a second entity above your existing operating business, along with the governance connecting the two, completing a deliberate two-tier ownership structure.
Annual Maintenance
An entity requires more than formation. It requires ongoing maintenance. For firms with an existing entity, the Entity Maintenance Program handles the annual compliance, governance documentation, and ownership record-keeping that keeps the business operating correctly year after year.
Built For Speed When It Matters
Fast Track
Fast Track utilizes industry standards and best practices to simplify decision-making and accelerate execution, allowing your project to be completed in approximately 30 days.
Experience You Can Count On
Rather than relying on all-time figures, we believe in showing what we’re doing today, our current team, current engagements, and active solutions. We prioritize real-time experience over the last 12 months over historical totals.
*Data based on the last twelve months ended December 31, 2025.
Industry-Specific Structuring
Revenue in financial services flows differently than it does in other industries, and that changes what a correctly built entity looks like. Your structure is designed around the regulatory, compensation, and ownership realities of an advisory business, not generic formation templates.
In-House Tax and Legal Expertise
Every engagement draws on a team credentialed across valuation, legal, tax, financial planning, and exit advisory. Ownership structure, valuation mechanics, cash flow design, and leadership continuity are evaluated together, and we coordinate directly with your CPA so nothing falls through the gaps between disciplines.
One Point of Contact, Start to Finish
You work with the same lead consultant from the first conversation through final implementation. No handoffs. No internal routing. We do more than outline your options. We guide decisions through documentation, coordination, and execution, so momentum is maintained and the structure actually gets built.
We’ve worked with Succession Resource Group for many years and have utilized their entity support services. The entire team has been a pleasure to work with throughout our relationship.
They consistently provide thoughtful guidance, responsive service, and a level of professionalism that gives us confidence in every engagement. Whether navigating complex transactions or supporting ongoing entity needs, their knowledge and attention to detail have been invaluable.
We truly value their time, expertise, and partnership, and would highly recommend Succession Resource Group.
— Jonathan L.
SRG is fantastic. They worked with us and explained all our questions. They had meetings with our accountant to coordinate the setting up of the entity and S-corp. We were very happy with all of their explanations and guidance. The final binder we received was great to keep all of our information in and make sure we had everything set up correctly. (…)
— Sharon B.
I’ve had the pleasure of working with Succession Resource Group (SRG) for nearly a decade, and I can confidently say they are one of the most professional and knowledgeable firms in the industry. Over the years, I’ve worked with many members of their team, and each one consistently brings a high level of expertise and dedication.
SRG takes the time to truly understand the needs of financial advisors and crafts personalized, strategic solutions that drive real results. I’ve relied on them for multiple services including valuations, consulting, presenting, enterprise support, employee arrangements, equity options, deal structuring and more.
What sets SRG apart is their ability to take complex concepts and distill them into clear, actionable guidance. They’re responsive, insightful, and always focused on helping advisors achieve their goals. I strongly recommend them.
— Melissa M.
Book a Consultation
Not sure whether you need a new entity, a second entity, or ongoing maintenance? Book a discovery call and our team will help you find the right structure for your firm.
View Pricing & Service Overview
Download our Entity Support service overview to view pricing, what’s included, timeline, and how the process works.
Entity Formation Assistance at a Glance
You will receive one-on-one consulting from a dedicated member of our team, with resources designed for your specific business needs.
We offer three entity packages based on your needs. At a minimum all of our entity services include:
- Single point of contact
- Entity documents
- E-Signature and backup storage vault (for certain documents)
Our elite entity package includes additional consulting, recommendations, an entity binder, coordination with your tax professional, and industry resources so you can seamlessly move forward day one.
We guarantee your entity documents with 15 calendar days following federal and/or state approval.
The process from start to finish may vary based on your needs, but we can generally finalize the entity for you within 30-60 calendar days.
If you need the entity sooner, we offer expedited options.
Fill out our contact form, call us, or schedule a call.
FAQs for Entity Setup and Support
Entity Support helps advisors navigate the nuances and challenges of creating and using a more formal organizational structure for their business, such as a partnership or corporation. We handle strategy, formation and governance documents, federal EIN and state registration, and coordination with your tax professional through execution.
Yes. We review your current entity structure, work inside that framework, and make sure you are well documented, researched, and compliant. If you are building toward an equity transition or succession, Entity² forms a second entity above your existing operating business. If your entity is already in place and you need the annual work handled, the Entity Maintenance Program covers it.
Independent business owners in the financial services industry, typically those with one or more employees and/or independent contractors.
The business owner should engage for the entity support service.
There are several reasons to set up and operate your business as an entity:
- Ability to share/sell
incremental equity and develop phantom equity plans - Formalized ownership structure
- Greater continuity
- Potential tax savings
- Reduced personal liability
Tax savings vary for each business owner, but typically come in the form of Medicare taxes saved on distributions received from an S Corporation. For larger teams, the potential savings can be motivation on their own. There are a number of additional reasons to set up and use an entity, most of them more important long term than the tax savings.
Yes. We encourage you to include your CPA and/or attorney in select conversations. Coordination with your tax professional is built into the engagement, so the process stays turnkey for you.
Compared with businesses in other industries, the flow of revenue in the financial services industry requires additional steps because you are paid directly. That creates regulatory nuances you need to know how to navigate. Our firm works exclusively in this industry, so you are compliant for internal purposes as well as for tax and legal purposes. We collaborate extensively with your CPA to make sure that happens and that they understand the background on the issue and the solution.
We request that you complete a questionnaire. It includes sections for business formation information, shareholder or member information, director information, officer information, and accounting information.
Meeting minutes should be completed annually, and most states also require the filing of an annual report. Best practice is to review your entity setup annually before your annual report due date. The Entity Maintenance Program handles that cycle for you, including formal resolutions, annual meeting minutes and agenda, ownership ledger updates, and the annual report filing where your state requires one.
SRG has years of experience creating entities for our clients. We know your industry. We have helped our clients’ families and legal counsel put these plans into action when something has happened, and that is the experience we bring to each client. We strive for excellence and, as a result, we are always learning, adapting, and revising our deliverables and resources so that you receive a fair, accurate, and timely solution as the industry changes. We are neutral. We are not affiliated with a broker-dealer or custodian, so we can provide the advice that is best for you. We also pride ourselves on service, providing high-touch, high-quality solutions to our clients.
Contact us!
(503) 427-9910 Schedule a Call
For many services we discourage including staff members early on so that both you and SRG can speak freely, but we leave this decision up to each client.
Nicole Frey, CFP®, Director of Team Solutions
Jessica Otero, Senior Project Coordinator