$114MM AUM | $802,000 GDC in
Hi! I'm Dave. I am looking to be a successor or buyer of a financial advisory book or firm. I have experience buying/merging books of business in the past, and have the staff/rep-advisors, and resources to acquire or help transition or merge other rep-advisors looking to make a change.
I am a CFP, ChFC, CLU, CASL, RHU, REBC, CFS. I became licensed during college 13 years ago, and expect to work full time in this career for another 32 years (or more). I, nor any of the rep-advisors in my branch, have any disciplinary history. I have experience with changing broker-dealers/custodians, and practice merger/acquisition and succession planning with another 30-year experienced advisor with a highly loyal, long-tenured client base. I and my team have experience servicing widely mixed books of VAs, Mutual Funds, Insurance, Brokerage, and fee-based accounts including discretionary and 3rd-party. I have transitioned much of my current book to fee-based where appropriate for the client. I have transitioned a paper only and low-technology practice to paperless and high-tech. I have taught CPE continuing education for CPAs and "play well in the sandbox" with other professional advisors.
I have multiple young (under 40), ethical, highly qualified and credentialed rep-advisors inside of my branch and we have the ability to be mobile and serve our communities' financial advisory needs, and provide needed succession planning and transition financing to rep-advisors looking towards retirement or a merger. Contact me if you have any interest or to discuss.