Succession Resource Group works exclusively with independent financial professionals: RIAs, registered representatives, insurance agents and CPAs with advisory practices. Clients range from solo practices around $30M in AUM to multi-partner firms above $1B. Start with whichever situation below sounds like yours.
Book a ConsultationSRG serves independent financial services businesses across the United States. That includes registered investment advisors, registered representatives affiliated with a broker-dealer, hybrid firms operating under both, insurance and annuity producers, and CPAs who have built an advisory practice alongside their tax work.
The common thread is independence. Our clients own their businesses, own their client relationships, and make their own decisions about what happens to both. We are not affiliated with a broker-dealer or a custodian, so the guidance is built around your practice rather than around a platform. Engagements are run by a dedicated lead consultant, backed by in-house valuation, tax, and legal expertise.
RIAs
Registered investment advisors
Registered reps
Affiliated with a broker-dealer
Hybrid firms
Operating under both
Insurance and annuity
Producers and agents
CPAs
With an advisory practice alongside tax work
Independent
Not affiliated with a broker-dealer or custodian
Whether you need annual valuation services or a financial valuation to plan your exit, our extensive knowledge of the M&A market for independent financial service professionals (RIAs, Registered Reps, CPAs, and insurance agents), makes us uniquely suited to deliver accurate and reliable valuations to our clients.
With decades of experience, combined with access to extensive real-time deal data, we will help ensure you know the value of your firm and have a reliable and unbiased perspective. In addition, SRG can provide expertise on increasing the value of your advisory business over time so that valuations can grow as you do.
Owners at every stage, from solo practices to multi-partner firms, who need a defensible number for a sale, buy-in, buy-sell agreement, loan, or estate plan. Also firms that value the business every year to track what drives it.
Whether you are acquiring a practice, navigating a live transaction, or merging with another firm, the decisions you make today will define the trajectory of your business for years. These are not isolated events. They involve ownership, valuation, cash flow, leadership, and documentation working together.
SRG’s growth services provide the strategic analysis, deal structure, and coordinated execution needed to move forward with clarity and confidence, so every step is deliberate and every outcome is built to last.
Multi-advisor ensembles with teams of ten or more, revenue between $3M and $8M, and AUM above $100M. Mergers typically combine two practices with roughly $1M to $3M in combined revenue.
Whether you need to formalize your entity, redesign compensation, put employment agreements in place, or create equity pathways for your next generation of leaders, SRG’s team brings industry-specific expertise to every engagement. Our solutions are built for financial professionals, not adapted from generic templates.
With credentialed professionals across valuation, tax, and organizational strategy, we help you build the operational foundation that protects value, retains talent, and positions your firm for whatever comes next.
Solo and small-team practices with one to five people, revenue around $300K and up, and AUM above $30M, including firms hiring their first associate advisor and wanting the structure right before they do. This group also includes larger firms, often teams of eight to twenty-five with AUM between $300M and $800M, using phantom equity or appreciation rights to reward key employees without giving up control.
Every firm carries risk that can erode value if left unaddressed, whether it’s an unexpected leadership absence, unclear authority during a transition, or gaps in the agreements that govern your team and your operations. SRG’s protection services are designed to identify and close those gaps before they become problems.
With credentialed professionals across valuation, legal, tax, and organizational strategy working under one roof, we help you build the documented structure your firm needs to hold its value through whatever comes next.
Any advisor who is the single point of failure in their own firm. Most often this is a solo practitioner or a lead advisor whose clients, relationships, and revenue would have no clear home tomorrow. It also includes firms whose broker-dealer or custodian requires a continuity plan on file, and partnerships that have never documented what happens if one owner is suddenly out.
Whether you are years away from a transition and building the plan now, actively managing a succession arrangement, reviewing an offer or preparing to sell, the decisions at this stage carry more weight than any that came before.
SRG works exclusively alongside the advisor, bringing valuation expertise, legal coordination, and independent guidance to every phase, so you move forward with full information and close on terms that reflect what your business is actually worth.
Selling to a third party
Most advisors sell once, while buyers negotiate deals all the time. Seller Advocacy evens that out by bringing qualified buyers into a confidential, competitive process, so you choose between real offers instead of reacting to one, and the price, terms, and fit reflect what your firm is worth. If you already have a buyer, SRG can represent you through the offer and the purchase agreement.
Transitioning internally
Transitioning internally, often to a son, daughter, or next-generation advisor, means handing over ownership without handing over your income or your influence on day one.
Sellers with teams of one to five and AUM up to roughly $55M, though Seller Advocacy engagements have represented firms from $40M to $5B. Internal successions span solo practices to teams of fifteen and up, with AUM anywhere from $7.5M to $1.2B.
You are moving into ownership, either from outside the firm or from inside it. External buyers are often associate advisors buying their first practice, or career changers leaving a wirehouse, bank, or asset manager. Internal successors are already at the firm and are buying in over time, funded by some combination of financing, a seller note, and sweat equity.
The questions are the same on both paths: is this the right practice at the right price, how does it get financed, can I buy in without a personal guarantee, and will my take-home income survive the repayment period.
Individual buyers acquiring practices in the high six figures and up, and next-generation successors inside firms of roughly eight to forty staff.
SRG also works with the organizations around the advisor.
Broker-dealers and custodians
Broker-dealer and custodian home offices bring us in so their reps and RIAs have a succession and valuation resource they do not have to build internally.
TAMPs
TAMPs use us to help platform advisors grow and protect their practices.
Lenders
Lenders work with us on transactions that have been properly valued and documented.
CPAs and securities attorneys
CPAs and securities attorneys collaborate with us on shared clients where tax and legal work has to line up with the deal.
There is no formal minimum. In practice, clients range from solo practices with roughly $30M in AUM to multi-partner firms above $1B, and Seller Advocacy engagements have represented firms from $40M to $5B. Fit depends more on the decision in front of you than on the size of the business.
~$30M
Solo practices
$1B+
Multi-partner firms
Ranges shown reflect recent engagements and are provided for general reference only. They are not minimums, thresholds, or guarantees of service, and are not a representation of results. Every engagement is scoped individually and governed by a written agreement.
SRG works with clients across the United States. Engagements are run remotely, so location does not affect access to the team or the process.
Nationwide, fully remote engagements
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Three things worth having, whether or not you are ready to talk to us.
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Most people arrive with a question rather than a category. A short conversation is usually enough to tell you which of these applies to your business, what the process would look like, and whether we are the right fit.
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FAQ
SRG works with independent financial professionals in the United States: registered investment advisors, registered representatives affiliated with a broker-dealer, hybrid firms, insurance and annuity producers, and CPAs with advisory practices. We also work with broker-dealer and custodian home offices, TAMPs, lenders, and referring attorneys and accountants.
Both. SRG works with RIAs, registered representatives affiliated with a broker-dealer, hybrid firms operating under both, and insurance and annuity producers. The firm works exclusively within financial services, which is what allows it to account for the regulatory and compensation differences between those channels.
There is no formal minimum. Clients range from solo practices with roughly $30M in AUM to multi-partner firms above $1B. Seller Advocacy engagements have represented firms from $40M to $5B in AUM. Fit depends more on the decision you are facing than on the size of the business.
Yes. SRG represents buyers through AcquireEdge and sellers through Seller Advocacy. When a buyer and seller already have a deal in hand and want one shared process, Deal Support provides an independent review of the structure and terms for both sides. Buyer clients include first-time acquirers and established firms that acquire repeatedly as a growth strategy.
Yes. Internal successors buying into the firm they already work at are a core client group. The work covers valuing the buy-in, structuring financing and seller notes, avoiding a personal guarantee where possible, and setting a written roadmap from associate advisor to partner.
Yes, through Partner Programs. Home offices bring SRG in so their reps and advisors have access to succession planning, valuation, and transaction support that the firm does not have to build internally.
Yes. SRG works with clients across the United States and runs engagements remotely, so location does not affect access to the team or the process.
No. Many clients engage SRG years before any transaction, for a valuation, an entity review, a contingency plan, or an equity sharing design. The decisions that set your eventual value are usually made well before a sale is on the table.
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