Equity Compensation: A Technical Comparison between Restricted Equity Grants
Please enable JavaScript in your browser to complete this form.Please enable JavaScript in your browser to complete this form. Name * FirstLast Phone Work Email *How Did You Hear About SRG? *— Select Choice —ConferenceDirect MailExisting/Past ClientGoogle AdWordsOtherReferralSocial MediaSeminar/WorkshopWebinarWebsite Download Empower your team and strengthen the long-term health of your business with SRG’s “Equity Compensation: A Technical Comparison Between Restricted Equity Grants” white paper. This practical, easy-to-understand resource breaks down the key differences between Restricted Stock Awards (RSAs) and Restricted Stock Units (RSUs) — two of the most common tools for sharing ownership value and aligning employees with your company’s future. Whether you’re designing a new equity plan, preparing for growth, or looking to retain top talent, this guide clarifies the structural, tax, and ownership considerations every business owner should understand. From grant mechanics and vesting to 83(b) elections and S-Corp compatibility, you’ll learn how each approach impacts control, complexity, and long-term planning. Explore how the right equity strategy can motivate your team, support succession goals, and protect the value you’ve built. Download the white paper today and make confident, informed decisions about equity compensation.
Value vs. Price: What Every Financial Advisor Needs to Know About Firm Valuation
Value vs Price: What Every Advisor Needs to Know 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. Please enable JavaScript in your browser to complete this form.Please enable JavaScript in your browser to complete this form. Name * FirstLast Phone Work Email *How Did You Hear About SRG? *— Select Choice —ConferenceDirect MailExisting/Past ClientGoogle AdWordsOtherReferralSocial MediaSeminar/WorkshopWebinarWebsite Download
The RIA & Advisor Dissolution Playbook
Download Your eBook! Please enable JavaScript in your browser to complete this form.Please enable JavaScript in your browser to complete this form. Name * FirstLast Phone Work Email *How Did You Hear About SRG? *— Select Choice —ConferenceDirect MailExisting/Past ClientGoogle AdWordsOtherReferralSocial MediaSeminar/WorkshopWebinarWebsite Download Dissolve Your RIA the Right Way. 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. In this comprehensive playbook, SRG outlines the essential phases of an orderly dissolution, supported by detailed checklists, timelines, and best practices drawn from decades of industry-specific expertise. You’ll learn how to structure the process to minimize regulatory exposure, protect client relationships, and reduce the likelihood of costly missteps. This guide also covers special considerations for RIAs and registered reps, including employee obligations, custodial transitions, tax reporting, and post-dissolution compliance. By following this structured roadmap, advisors can ensure they exit with clarity, safeguard their legacy, and complete the dissolution process efficiently and with confidence. Created by SRG’s team of expert consultants, Kristen Grau, CPA, CVA, CEPA, Nicole Frey, CFP® and Parker Finot, this playbook distills years of hands-on experience guiding advisors through complex transitions—providing the tools, structure, and peace of mind to navigate one of the most significant business decisions with precision and care.
Divorce Valuations: A Purpose-Built Process for Litigated Matters
Download Your eBook! Please enable JavaScript in your browser to complete this form.Please enable JavaScript in your browser to complete this form. Name * FirstLast Phone Work Email *How Did You Hear About SRG? *— Select Choice —ConferenceDirect MailExisting/Past ClientGoogle AdWordsOtherReferralSocial MediaSeminar/WorkshopWebinarWebsite Download Divorce valuations at SRG are not ordinary business valuations, they are litigation tools. Every step of our process is designed to align with legal expectations and withstand scrutiny from attorneys, judges, and opposing experts. Inside this white paper, you’ll learn how SRG’s process is: Built exclusively for the business-owning spouse (in-spouse). Structured for success through discovery calls with attorneys. Issued only as Conclusions of Value, never Calculations. Supported with options for goodwill bifurcation, expert testimony, and rebuttals. Written by Ryan T. Grau, CVA, CBA, this resource outlines SRG’s defensible, litigation-ready valuation process, providing clarity, independence, and confidence in even the most complex matters.
Empowering Advisors, Enhancing Transitions
Download Your eBook! Please enable JavaScript in your browser to complete this form.Please enable JavaScript in your browser to complete this form. Name * FirstLast Phone Work Email *How Did You Hear About SRG? *— Select Choice —ConferenceDirect MailExisting/Past ClientGoogle AdWordsOtherReferralSocial MediaSeminar/WorkshopWebinarWebsite Download Empowering Advisors, Enhancing Transitions Discover how SRG helps institutions support advisor growth and retention through expert guidance, seamless transitions, and strategies that reduce lift on your internal teams.
Succession Role Transition Planner Tool
Download Your eBook! Please enable JavaScript in your browser to complete this form.Please enable JavaScript in your browser to complete this form. Name * FirstLast Phone Work Email *How Did You Hear About SRG? *— Select Choice —ConferenceDirect MailExisting/Past ClientGoogle AdWordsOtherReferralSocial MediaSeminar/WorkshopWebinarWebsite Download Succession planning is a gradual and complex process that involves the smooth transition of trust from one generation of owners to the next. It encompasses various crucial elements such as timeline considerations, mentoring and training, evaluating risk tolerance, managing finances and cash flow, determining valuation, reviewing contracts, and much more. In order to simplify this process, we have created this e-book that breaks down your succession plan roles into 7 categories. It is also an example of what our expert SRG consultants use to initiate conversations and facilitate planning. To ensure that your succession planning is intentional, organized, and strategic, make use of our comprehensive succession planning checklist. It will help you develop a well-thought-out and documented transition plan. Don’t miss out on this valuable resource!
The Financial Advisor’s HR Toolkit
Download Your eBook! Please enable JavaScript in your browser to complete this form.Please enable JavaScript in your browser to complete this form. Name * FirstLast Phone Work Email *How Did You Hear About SRG? *— Select Choice —ConferenceDirect MailExisting/Past ClientGoogle AdWordsOtherReferralSocial MediaSeminar/WorkshopWebinarWebsite Download Streamline Your Practice with These Essential Tools Effective personnel management, including formalized employee agreements, equity sharing, and compensation plans, is equally crucial to the success of your financial practice as well as that of your team. Our toolkit is designed with all the essentials you need to manage your HR processes effectively, saving you time and increasing your efficiencies. Here’s what you’ll find inside: Expert recommendations on employment agreements Best practices for compensation Key elements for clear job role descriptions Guidance for creating a career path for your team Our toolkit is designed to help you improve your employee satisfaction, increase retention, and better align employee compensation plans with business initiatives. Complete the form to receive your free HR Toolkit today! Learn more about SRG’s Employment Resources and Equity Sharing services. Schedule your free consultation below!
Sunset vs. Succession: Realizing the Value of a Career in Financial Advice
Download Your White Paper! Please enable JavaScript in your browser to complete this form.Please enable JavaScript in your browser to complete this form. Name * FirstLast Phone Work Email *How Did You Hear About SRG? *— Select Choice —ConferenceDirect MailExisting/Past ClientGoogle AdWordsOtherReferralSocial MediaSeminar/WorkshopWebinarWebsite Download Plan Your Exit with Full Information In recent years, expanded access to capital and advances in advisor technology have allowed independent practices to become increasingly transferable. This gives selling advisors more options in exiting the business and transitioning their practice to a successor. To help you plan for your exit, this white paper provides a close look at the benefits of independence followed by a sale of the business to a successor, as opposed to a traditional corporate sunset plan. Fill out the form to download the report.
Your Guide to Proper Entity Structure
Download Your eBook! Please enable JavaScript in your browser to complete this form.Please enable JavaScript in your browser to complete this form. Name * FirstLast Phone Work Email *How Did You Hear About SRG? *— Select Choice —ConferenceDirect MailExisting/Past ClientGoogle AdWordsOtherReferralSocial MediaSeminar/WorkshopWebinarWebsite Download What is best entity structure for financial advisors? For advisors affiliated with a broker-dealer, using a formal entity structure like a limited liability company or corporation can be challenging since you are paid directly as the licensed professional. But, as your book of business grows and you hire staff, sign a lease, and take on other business related liability, limiting your personal liability becomes increasingly important. In addition, using a more robust equity structure allows for a variety of other options that are helpful for succession planning and growth through acquisition. “Your Guide to Proper Entity Structure” contains: a cheat sheet covering the main advantages and disadvantages of the most commonly selected entity types. a bonus checklist for best practices in using an entity in the financial services industry. For entity formation services, please visit our Entity Support service for more information.
A How-To Guide For Protecting Your Business
Download Your eBook! Please enable JavaScript in your browser to complete this form.Please enable JavaScript in your browser to complete this form. Name * FirstLast Phone Work Email *How Did You Hear About SRG? *— Select Choice —ConferenceDirect MailExisting/Past ClientGoogle AdWordsOtherReferralSocial MediaSeminar/WorkshopWebinarWebsite Download As an advisor, one of the most important elements to protect you, your clients, and your business is to create a plan in case of your untimely death/disability/loss of license. It will ensure your clients are taken care of in your absence and your family receives the value of your business compliantly. As a result, the process of contingency planning and the creation of a viable contingency agreement are crucial steps to plan for the unexpected. Only a small fraction of advisors, agents, and accountants have a plan and/or agreement in place to provide solutions should something happen to them unexpectedly – yet everyone should have one. There are several types of plans, some simple, some more complex, and a multitude of issues beyond the actual agreement to consider. Our guide, “A How-To Guide for Protecting Your Business,” explains why a contingency plan is needed for every advisor and describes the most common types of contingency agreements, the benefits, and drawbacks of each, how value is determined and funding is secured, as well as strategies to get started.