Contingency Planning

SRG has the experience and resources to help create a plan to ensure your clients are taken care of, preserve the business and value you have worked so hard to build, and protect your beneficiaries in the event something should ever happen to you. Whether you are creating a contingency plan with a peer to sell the business at the time of your passing or disability, do not have a contingency partner, or creating a written plan amongst partners, or key professionals inside your company, we can help create a turnkey solution leveraging our years of experience, industry-specific form agreements, and strategic planning resources.


Our team of experts will help you make every decision with full information. We will consult with you on the most effective ways to create a plan designed to provide a smooth transition and obtain maximum value in the event of your death, disability, loss of license/registration. Every RIA and advisor affiliated with an IBD (independent broker-dealer) should have a plan/strategy, yet so few do.

Form Contracts

We will leverage our library of form contracts to ensure you complete your plan using best inclass resources that have been field tested to ensure they work. We will provide industry-specific, customized form agreements, then coordinate with your professional counsel to ensure you are well advised should the agreement need to be used in your absence.

Planning Strategies/Resources

The final step after signing an agreement is to ensure you take proper steps to support the plan. We have detailed checklists and sample letters to use/follow to ensure a transition will be smooth and not the typical “fire sale.”



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