Marketplace for Financial Firms for Sale

Exclusive Listings of Financial Advisory Practices

Find an RIA or a financial firm for sale in our simple and easy-to-use online marketplace – myCompass. Below is a simple summary of each listing on myCompass, including Active listings, Coming Soon, Pending, as well as recently sold practices. Login to myCompass to view more details and complete a buyer profile so you can express interest.

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Download the Practice Acquisition Checklist. Created by SRG’s M&A experts, this three-part guide walks you through the early stages of your acquisition strategy, internal preparation, seller goal setting, and sourcing strategies that get results.

 

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Buy Smarter with Resources for Financial Advisors

Explore more below for resources specific to Employment Agreements – and if you’re looking for even more guidance, visit our full Resource Library.

The RIA & Advisor Dissolution Playbook
Dissolving your RIA is rarely simple. It requires thoughtful coordination across legal, tax, compliance, and client transition steps. Each stage, from initial exit planning and regulatory filings to employee communications, financial wind-down, and document retention, brings unique requirements and potential risks.
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10 Tips for Selling Your RIA
Selling your Registered Investment Advisor (RIA) firm is a major decision—one that goes far beyond the financial transaction. As a firm owner, you need to think about preserving your legacy, ensuring a smooth transition for your clients and employees, and finding the right buyer to carry your business forward.
Read Article Here
The Sellers Playbook | What to Know Before You Let Go
Learn what it takes to successfully sell your financial advisory practice. This session walks through the key steps to prepare your business, navigate the sale, transition clients and staff, and avoid common mistakes. Whether you’re planning to exit soon or just getting started, this webinar offers practical guidance to help you plan with confidence.
Watch the Webinar Here
Selling My RIA as a Financial Advisor, Prioritizing Client Fit Over Highest Offer
John Gunn was the Managing Principal of John L. Gunn & Associates, LLC, a Portland-based Registered Investment Advisory firm, prior to selling to Mainsail Financial Group. In his practice, John advised high-net-worth individuals, foundations, and pension plans, bringing decades of business experience and a reputation for excellence. He has been recognized as a Five Star Wealth Manager in Portland Monthly Magazine and served as a long-time member of the American Institute of CPAs National Financial Planning Insights Panel.
Read John Gunn's Article
Seller Readiness E-Book
Are you ready to exit? Your most valuable asset in your business is the client relationships you build. Transferring your clients and the revenue that is produced is one of the hardest steps an owner will undertake in their career and it’s important to do it right the first time. Selling your business can seem like a daunting task at first — our Seller Readiness E-Book identifies crucial elements for you to think about as you begin the process of finding your successor.
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When Your Key Stakeholders Want to Help You Sell: 4 Things to Watch For
When your successor, internal buyer or home office wants to “help you sell,” it can be a win or a warning sign. Our latest infographic breaks down four critical considerations every advisor should weigh.
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2025 Advisor M&A Highlights
Originally released on January 22, 2025, Succession Resource Group’s 9th annual Advisor M&A Review provides guidance to thousands of financial advisors and RIAs preparing to value, improve, protect, grow, and exit their advisory firms. This report’s findings are based upon 176 peer-to-peer deals completed from January through December of 2024 with over $13.3 billion in total assets under management transferred.
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A Legacy Preserved Under Pressure
Succession planning after advisor death is one of the most urgent and complex challenges a firm can face. When a long-time Hawaii-based financial advisor unexpectedly passed away, their family was left with a major challenge: how to transition a complex, high value practice in under 60 days while mourning the loss of their loved one. Without a succession plan in place, the estate faced potential client attrition, lost value, an employee in limbo, a lease payment, and industry regulated complications. That’s when the family reached out to the deceased advisors’ Practice Management Consultant who referred to them to Succession Resource Group for help.
Read Client Testimonial
Why SRG Delivers Real ROI
Our latest infographic breaks down why firms choose SRG, not just for answers, but for outcomes. From saving time and streamlining execution to gaining strategic clarity and confidence, SRG’s process is designed to reduce friction and deliver high-impact, sustainable results.
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Legal/Tax/M&A: Where Your Professionals Fit Into Your M&A and Succession Plan
Discover how to align the right professionals with the right phase of your M&A or succession plan — without wasting time or money. This session delivers hard-earned insights from hundreds of real-world advisory firm transitions.
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Selling to Your Kids? Why Family Deals Demand Extra Scrutiny Articles
Selling your RIA practice to a son, daughter, or other family member might feel like a natural, low-stress transition, because there’s trust and familiarity. Many advisors assume they don’t need the same level of formality required of an outside RIA sale transaction. As a result they may skip a formal valuation, because they aren’t aiming for full value, or considering gifting equity. But this relaxed approach can open the door to tax exposure, compliance pitfalls, and long-term misunderstandings. In fact, intra-family sales demand more structure and care—not less—from both a practical and technical perspective.
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Selling Your Practice with Expert Advocacy
Join us for a candid conversation with three SRG clients—John Gunn, Paula Heckler, and Paul Meyerhoff—as they share their firsthand experiences working with our Seller Advocacy team. In this client panel, you’ll hear what it’s really like to navigate the selling process with SRG by your side—from preparing for market, to negotiating, to closing on the right terms.
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How to Get 10x for Your Advisory Practice
Advisory M&A experts Kristen Grau, CPA, CVA, CEPA and Todd Fulks, JD, BFA unpack what goes into building a firm worth top-tier multiples. From growth strategies to value drivers, learn how to position your practice for maximum return—whether you’re selling soon or planning ahead.
Watch Webinar
How to Get 10x for Your Advisory Practice
Advisory M&A experts Kristen Grau, CPA, CVA, CEPA and Todd Fulks, JD, BFA unpack what goes into building a firm worth top-tier multiples. From growth strategies to value drivers, learn how to position your practice for maximum return—whether you’re selling soon or planning ahead.
Watch Webinar
The Psychology of Dealmaking in Advisory RIA M&A Transactions
Mergers and acquisitions (M&A) are emotionally charged and complex processes. For sellers, selling a business often means parting with something they’ve spent years or even decades building. For buyers, acquiring a business involves integrating a new entity, new team members, managing risks, and fostering relationships—all of which come with their own financial and emotional challenges. Understanding the psychology behind these transactions is crucial for success. Below, we summarize the top psychological impacts of dealmaking from both the seller’s and buyer’s perspectives, along with practical solutions to mitigate these challenges.
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