Overview

Only looking for continuity plan. A buy/sell agreement in the event of death or disability with an LPL advisor only.

The practice is predominately fee based. 90% AUM is about 38 million and trailing 12 month GDC is between 260K and 280K. The advisor uses ETF's.
Most clients have at least 1 to 2 million in AUM with this advisor.

The bulk of the client base is in California. A number of clients are in Texas, Florida, Washington, Idaho, Oregon, and the rest are in Colorado. One client in the United Kingdom.

The ideal candidate for Business continuity agreement is as follows:
A Series 65 or Series 66, and an insurance license. They must have at least 10 years in the financial services industry. For a buy sell arrangement they would have to be aged between 45 and 55 years old.

Market
Advisor/RIA
Member Level
Basic
Last Activity
6 months or more

Business Data

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