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About SRG

Succession Resource Group is a boutique succession consulting firm based in the Pacific Northwest, serving clients across the country. SRG was founded by David Grau Jr., MBA in 2012 after nearly a decade of helping advisors with valuation and succession planning. SRG's team of experts leverage their industry expertise, combined with best-in-class resources, to help advisors, agents, and accountants manage the equity in their businesses...

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9 min read

Five Building Blocks of an Attractive Compensation Model

By Nicole Frey on Aug 8, 2022 10:22:37 AM

Hiring and retaining talented employees is a top priority for most business owners. Effectively doing so has become increasingly difficult in the financial services industry. The number of advisors approaching retirement and exiting the industry far outweighs the number of new advisors joining. This gap is further exacerbated by the Great Resignation. As a result, organizations are struggling to find the human capital needed to grow their business and plan their internal succession.  

Topics: Equity Compensation Blog employee benefits
5 min read

Buying a Book of Business

By David Grau Jr. on Jun 17, 2022 11:15:54 AM

Whether you are just starting out as a financial advisor or you are simply looking to expand your established business, buying an existing book of business could be the right move for you. Opportunities for business acquisitions are becoming ever more common, as the average age of many financial advisors edges closer to retirement.

7 min read

What is Phantom Equity and How is it Used?

By David Grau Jr. on Jun 14, 2022 6:47:46 AM

As an incentive to motivate hard-working key employees, private employers can issue phantom stock, also known as “shadow stock,” as equity compensation. While the value of these phantom shares will rise and fall in line with the company’s stock, the employee will not gain any actual ownership over the company or minority shareholder rights.

Topics: Equity Compensation
5 min read

How to Acquire a Financial Practice

By David Grau Jr. on Jun 9, 2022 12:11:15 PM

Those employed as financial advisors will likely come to a time in their career where they would like to make a vertical move. Once this stage is reached, there are few clear paths available. Some may decide to dig their heels in and open their own financial advisory firm, scrounging up clients where they can and providing the best possible service to ensure the success of their practice.

Topics: Acquisition
5 min read

Making Sense of the Great Resignation

By David Grau Jr. on Apr 28, 2022 8:47:14 AM

The pandemic has not only upheaved our personal lives over the past year and a half but it is doing the same to our professional lives as well. The U.S. Bureau of Labor Statistics reported that 4.3 million Americans (2.9% of the entire workforce) quit their jobs in August. This is another record-breaking month after the previous record-breaking months. At the end of July, there were 10.9 million open positions in the U.S. In a survey conducted by Morning Consult for Prudential in mid-September, they found that 46% of full-time employed U.S. adults were either actively looking for or considering a new job search. Why have so many workers decided to forge a new path and call it quits with their current employer? And what does it mean for small business owners?

Topics: great resignation
4 min read

What You Need to Know About the FINRA Rule

By David Grau Jr. on Apr 25, 2022 6:25:16 AM

On August 24, 2015, the SEC implemented FINRA Rule 2040. This rule is related to whether and how people who are not registered as broker-dealers can receive compensation that derives from financial transactions.

Topics: finra
5 min read

The Impact of Regulation Best Interest for Brokers-Dealers

By David Grau Jr. on Mar 31, 2022 7:54:46 AM

On June 5, 2019, a new set of regulations from the Securities and Exchange Commission (SEC) was introduced. The package aims to “enhance the quality and transparency of retail investors’ relationships with investment advisers and broker-dealers, bringing the legal requirements and mandated disclosures in line with reasonable investor expectations, while preserving access (in terms of choice and cost) to a variety of investment services and products.”

Topics: regulation bi
5 min read

Financial Services and Other Employee Benefits

By David Grau Jr. on Mar 23, 2022 12:23:03 PM

As any employee knows, there’s more to hope for at a job than just the salary. One of the biggest factors of whether or not someone will accept an offer is the benefits package. These are the things that help them feel supported in ways beyond their paychecks, and they can have a huge impact on employee experience.

Topics: financial services employee benefits
6 min read

How to Determine Your Business Valuation

By David Grau Jr. on Mar 18, 2022 8:31:07 AM

As a business grows and develops, there may come a time to consider selling it. You might even be approached with an offer. And while plenty of owners decide they are happy to continue forward at full steam, there are good reasons to think through all the options.

Topics: Valuation
5 min read

What You Need to Know About Income Valuation

By David Grau Jr. on Mar 10, 2022 2:25:23 PM

While it is easy for publicly traded companies to know their valuation, only around 1% of businesses are traded on the public market. All the rest are privately held, and for them, the prospect of knowing how much their companies are worth is far more challenging.