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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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3 min read

The Importance of Formalizing Your Entity Structure

By Succession Resource Group on Aug 28, 2023 4:53:31 PM

The decision to form an entity structure for your financial practice is a critical step for experienced independent financial advisors. Many advisors address this topic after a specific need for it has arisen, but addressing it proactively allows you to establish the right structure with less stress and take advantage of numerous other benefits along the way. This article highlights the signs indicating when it's time to establish an entity and the risks associated with not doing so.

Topics: Entity Formation
1 min read

Ensure a Seamless Experience with SRG's myCompass Platform: A Financial Advisor's Guide

By Succession Resource Group on Jul 25, 2023 3:53:31 PM

If you follow us on social media or are a subscriber to our monthly newsletter, you’ve heard about the most recent update to our one-of-a-kind client servicing platform, myCompass. Our latest and largest expansion now facilitates all services that SRG provides to clients, ensuring a streamlined and secure experience. Since these updates are still fresh, let's dive into the benefits of myCompass and how it can take your projects with SRG to the next level.

Topics: mycompass
2 min read

Teaming Advice When Preparing for a Merger

By Succession Resource Group on Jun 27, 2023 4:20:31 PM

If you’re showing up to virtual presentations or conferences, you’ve likely noticed a recurring topic that's been buzzing around the industry: teaming up and preparing for a potential merger. Hopefully, you’ve sat in on a few of these discussions, and if you’re reading this you’ve probably considered a teaming scenario to some extent. Many advisors we’ve worked with find the concept intimidating, however, with the right approach and some careful planning, you can navigate this process like a pro. So, let's dive right in!

Topics: mergers & acquisitions
5 min read

Selling Your Practice: What Your Clients Need from You

By Succession Resource Group on May 24, 2023 5:00:34 PM

You’ve decided to put your exit strategy in motion. Maybe you’ve identified a buyer, or you’re considering multiple successors who’ve expressed interest in your practice, or you just decided an hour ago that now is the time to sell. At whatever stage you’re in, your top priority is to protect your clients and deliver a smooth transition that they’ve come to expect after years of working with you. 

Topics: Seller sellers selling Exit Planning
6 min read

Six Events that Require a Valuation of Your Financial Practice

By Succession Resource Group on Apr 25, 2023 7:00:00 AM

Most experienced business owners understand valuations as an essential tool to assist in making critical decisions for their advisory practice. Unfortunately, many advisors will invest time and effort in getting their practice appraised, only to find out that the underlying analysis is irrelevant to the specific purpose of the valuation.

Topics: Valuation
4 min read

Acquiring a Financial Practice? Avoid These Common Points of Contention

By Succession Resource Group on Mar 17, 2023 12:21:33 PM

For anyone who has siblings, or is raising siblings, you might be familiar with the “Fair Share” tactic. Two siblings are told to share the last cookie in the jar. One sibling is tasked with splitting the cookie, while the other gets to choose which half of the broken cookie is theirs to enjoy. Doing so ensures that each sibling gets a fair share of the treat, despite their personal interest, with minimal bickering in the end.  

Topics: Mergers and Acquisitions
3 min read

Five Best Practices To Create An Effective Compensation Plan

By Nicole Frey on Jan 18, 2023 11:59:03 PM

Many companies have spent significant time and effort in recent years to move away from the traditional one-size-fits-all type compensation plans and instead favor a more customized solution. However, the challenge to achieve desired results in attracting and retaining talented workers, within company means, remains prevalent. While at times the issue may be poor job role, poor culture fit, or external circumstances beyond the employer and/or the employee’s control, more often than not the lack of success is the result of a misalignment of the compensation plan with the worker’s role in the company and incorrect implementation practices.

Most of these occurences can be avoided if the following best practices are maintained:

Topics: Compensation
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: Compensation
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.

Topics: Mergers and Acquisitions
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