Entity Support Services

SRG’s Entity Support Services help 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 and provides numerous other benefits such as:

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

Each project is unique and SRG will work with you to understand your goals and needs 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 it correctly, and/or properly document 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 form an LLC or corporation? In addition to the services included in SRG’s Entity Support Services Lite program, our full Entity Support Services program will assist with the following:

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

Why SRG?

Expert Consulting

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

Industry Recommendations

SRG helps set up your entity properly and collaborates with your accountant and attorney to align all stakeholders from the beginning. To save you time and money on research and analysis, we provide industry-specific recommendations which consider 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. To help you attract and retain the talent needed to grow your practice, we analyze your current compensation structure with you and model out a compensation structure that will help you achieve your goals.

Comprehensive Documentation & Filing

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

 

How We Compare?

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Next Steps

Next Steps

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