With the model rules passed for state registered RIAs, similar rules proposed by the SEC, and FINRA Rule 2040 – EVERY advisor should have a contingency plan in place, yet less than 10% actually do.
Join this fast-paced session to learn the 5 most important things you should be doing to protect your business and clients in case of your untimely death, disability, or loss of license.
Whether you have a plan already, or know you should, you do not want to miss our expert recommendations for building a plan that will work.
About David Grau, Jr., MBA:
David Grau Jr. is the founder and CEO of Succession Resource Group. He is currently one of the leading speakers in the financial services industry on mergers and acquisitions of independently owned financial services firms, as well as valuation strategies and practice continuity issues, with over 200 presentations to his credit. In the past five years, he has spoken at variety of the industry’s leading firms, including LPL Financial Services, Wells Fargo, Ameriprise Financial, MetLife, ING, AIG, Fidelity, Jackson National, Prudential, FSI and at many FPA chapters around the country.
As an expert on advisor valuation, acquisition and succession planning, David has assisted hundreds of advisors and other professionals buy, merge, sell, and craft their transition plan for the sale of their business over the last decade.