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$62,000,000 AUM in Roslyn, NY
$230,000 REV / YR 100% FEE 0% COMM
I am an RIA. My book of business is pretty evenly spread between Mutual Funds, ETFs, and Individual Stocks, in that order. I manage 75 households and 100% of my revenue generated is fee based. I'm looking to sell my practice as soon as possible. However, it must be to the right advisor. An individual that acts as a fiduciary and will put my clients best interests first, just as I have over the many years that I've been serving them. It's also imperative that the advisor be using Schwab as their custodian or clearing firm. I'd also prefer to stay on board for approximately 6-12 months in order to service the accounts during the transition or as long as it takes for my successor to become acclimated and comfortable working with my soon to be former clients.
$120,000,000 AUM in Minneapolis, MN
$35,000,000 REV / YR 100% FEE 0% COMM
We are a hedge fund wanting to convert / merge / acquire RIA accounts. All accounts considered! We can pay you more than anyone else you are considering. Sell to us or join us and be a hedge fund manager with your own doctoral-level quantitative analyst for custom strategies: trade with algorithms, hedge against risk and then use leverage to achieve alpha on low risk investments like a rock star. Call and talk to us. We understand that going to the other side is a big change, but you're looking for change or you wouldn't be here. Everything happens for a reason-- call us and lets explore your options.
$371,000,000 AUM in Grass Valley, CA
$3,200,000 REV / YR 99% FEE 1% COMM
We are a professional, experienced, and well-qualified team that provides comprehensive wealth management to our clients. We view comprehensive wealth management to be in-depth financial planning and thorough retirement & estate consulting combined with asset management & insurance services. We manage fee based models across the risk spectrum. We are seeking to add experienced advisors to our Auburn, California office as we view this location to have untapped potential within the Auburn area, and it provides an attractive access point to a broad section of the I-80 corridor stretching from Reno to Sacramento. We are an independent branch with Raymond James Financial Services. We are looking for advisors that are focused on the growth of their book over administering their practice, and are looking for a team to provide the broad support needed to enable that effort.
$196,000,000 AUM in Chesterfield, MO
$1,300,000 REV / YR 70% FEE 30% COMM
We are well established, independent financial services firm. We are locally owned are our roots date back to 1933. We serve both individual and corporate clients. We are proud of our reputation. Our Associates have built successful, lucrative long-term careers with us. We offer a range of comprehensive financial and insurance services. We offer a competitive value proposition, along with the technology, tools and products needed for today's Adviser to successfully servicing their clients. At this time, we are seeking to discuss opportunities expand our practice through a book of business purchase or merging a practice into Carillon Group.
$1,000,000,000 AUM in Irvine, CA
$10,000,000 REV / YR 100% FEE 0% COMM
RIA - $1B AUM Merge Opportunity in Irvine, CA
$43,000,000 AUM in Ladera Ranch, CA
$770,000 REV / YR 100% FEE 0% COMM
We are a small but nimble full service investment bank, wealth management, and fund management looking to acquire or to merge with an existing RIAs. Located in the heart of SoCal/Orange county. Our background derived from wealth management of American Express, later Ameriprise, and Morgan Stanley and investment bank-M&A and Corporate Finance. Our own portfolios comprise of individual stocks. Our ideal targets can be from any where in the US, but preferably in California.
$48,000,000 AUM in San Marcos, CA
$80,000 REV / YR 100% FEE 0% COMM
This firm has delivered consultative guidance to employer 401(k) plan sponsors from San Diego to Santa Barbara since 2008. It services employers and, in the wake of CalSavers is looking to expand by acquisition, practices that have business owners as a significant part of their client mix.
$200,000,000 AUM in Dallas, TX
$1,300,000 REV / YR 100% FEE 0% COMM
Looking to join with like minded RIA. Over 25 years of experience in the wealth management business. Extensive experience in alternatives. Started career at Goldman Sachs in 1994 and moved to Merrill Lynch in 2000. Believe deeply in transparency, open architecture and putting clients interests first. Zero marks on CRD. Looking to find firm that can carry on the business after I retire. I am 53 years young and still love the business, but the business needs good partners. We had hedges on the market going into fall of 2018 and into this year which served our clients well. We have had a tremendous number of referral in the past 24 months.
$14,000,000 AUM in Kansas City, MO
$100,000 REV / YR 100% FEE 0% COMM
I am a 35 year old Kansas City based CFP® with 10 years of experience looking to identify a local or regional practice to acquire sooner than later. I have spent the last 7 years of my career as a salaried financial planner and investment manager for 18 arms-length CPAs and FAs. I would like to leave the salary arrangement and merge my young, quickly growing book of clientele with a business in need of succession. I have a good RIA/BD home for the merger, but I'm also willing and able to move my practice elsewhere if needed for the ideal transaction. While my goals are defined and I am actively seeking specific arrangements, I am all ears for anyone looking to grow a practice that provides appropriate equity and/or anyone looking to leave their business on different terms.