Overview

High Valley Financial Planning is a $100M AUM branch of the Securities America, Inc. East Bay region. I am the branch manager with approximate $50M AUM. I am planning to sell $30M of the AUM in the next 2 years and the rest in 5 years. After that, I will stay on as the branch manager until retirement. The $50M contains 88 households and about 350 accounts. Currently projected GDC from the book is $400k with 70% advisory, 20% trails from mutual funds and annuities, and 10% commission.
Interested buyer should fit the following criteria:
1. Be in the industry for at least 5 years
2. Has at least $10M of own book of business
3. Demonstrate ability to grow organically
4. Willing to join a branch, looking for team work and mentorship
5. Series 7, 66 ( or 6 and 65) insurance licensed.
6. CFP designation optional but definitely a plus
7. You must be willing to move your book of business to Securities America (the B/D) before the sale contract can be negotiated and structured. Securities America offers a “preferred buyer program” , and an attractive transition bonus if you qualify and move your book of business by end of 2021.

High Valley Financial Planning Services is the designated Bay Area business development branch in Fremont, CA. and Iron Point Financial Advisors is our regional OSJ branch located in Folsom, CA, servicing over 50 greater Northern California Independent Financial Advisors.
Benefits of joining the High Valley / Iron Point Advisors team:
• Direct mentorship from branch manager, AiRung Liu, and Award winning OSJ Rob Santoriello combining over 50 years of industry experience.
• A culture of team work and collaboration among our team of financial advisors.
• Robust branded marketing strategies to help grow your business.
• Extensive knowledge to help you grow/buy/sell your business.

Market
Advisor/RIA
Member Level
Chalice
Last Activity
today

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