What advisors need to consider when selling a book of business

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The first decision is whether the sale will be a true exit point or whether an advisor wants to stay involved with the business

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Some have an internal succession plan in place with family or close associates. For those who don’t, the sale of their practice is a more complex matter and can generate significant stress. In developing a succession plan, there are two factors advisors think about most when evaluating their options.

The second option is more complex. That’s what we would call a “sell and serve” strategy – sell a practice to another advisor and continue to remain involved in it, serving clients. This alternative addresses three situations: To get it right, the seller will want to manage trade-offs and understand how the new agreement will be different from their legacy arrangement. The most noticeable transition will be in compensation. As a non-owner employee – the seller will be taking reduced compensation. That’s the cost for increased flexibility and reduced risk.

Most important, the seller should have an open and direct conversation with the new owner about how they will work together. Five areas that can cause the most friction and are important to prioritize in setting expectations for the ongoing partnership are: Investment philosophy. How does the buyer manage investments and how would the seller’s clients transition their portfolios? Does the seller agree with the approach? Can they defend it to their clients?

 

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