Entity Support Services

SRG’s Entity Support Services helps you navigate the nuances and challenges related to creating and using a more formal ownership structure (e.g. LLC or Corporation) in the financial services industry, which serves as the foundation for growth, providing numerous benefits through a full-service package:

  • Ability to share/sell incremental equity and develop phantom equity plans
  • Reduced personal liability
  • Greater continuity
  • Benefit from potential tax savings

Each project is unique and SRG will work with you to understand your goals and scope of what you need so we can provide you a personalized proposal and resources.

Succession Resource Group_Due Diligence Checklist


Entity Support Services

Entity Support Services Lite

If you already have an entity and would like to structure the entity correctly, and/or memorialize your relationship to your entity, then Entity Support Service Lite is designed for you.

  • Organizational chart
  • Compensation research study
  • Compensation research model
  • Advisor entity contracts
  • Structure risk analysis
  • How-To Structure Memo

Entity Support Services

Looking to start an entity structure for your firm or partnership? Our full program of Entity Support Services will assist with the following, including all the lite deliverable:

  • Corporate binder
  • Employer Identification Number (EIN)
  • Corporate seal
  • Operating/Bylaws
  • Buy-Sell/Shareholder Agreement
  • Articles of Incorporation/Formation
  • Startup checklist
  • Annual checklists
  • Initial meeting checklist
  • Company data sheet

Why SRG?

Expert Consulting

SRG is uniquely positioned to understand compliance constraints, organizational structure under a broker-dealer, revenue stream.

Industry Recommendations

SRG helps set up your entity properly and collaborate with your accountant and attorney to align all stakeholders from the beginning. To save your time and money on research and analysis in the future, we also provide industry-specific recommendations, considering long-term goals and risk mitigation.

Models & Analysis

Looking at your business as a whole, SRG analyzes where you have been, where you are now and where you want to be in the future so the decisions made today align with your goals.

Comprehensive Documentation & Filing

We documents your entity structure in relation to all key players – yourself, your clients, the broker-dealer and/or custodians, and regulatory authorities – to alleviate risk and promote growth. We also provide a corporate binder to help you keep your entity affairs organized, giving you the most current iterations at all times.


How We Compare?

Created with Compare Ninja

Next Steps

Next Steps

Want to learn more about SRG's Entity Formation Program? Click here to complete the form.