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$750,000,000 AUM in Littleton, CO
$0 REV / YR 50% FEE 50% COMM
We have in-depth experience working with and as investment consultants. You wear many hats to manage your practice: learning new technologies, keeping up with changing compliance requirements, growing your business, developing a succession plan. Not to mention helping your clients work towards their financial goals. Every one of our branch offices and affiliated members manages their businesses a different way, some under their own brands. That’s the way it should be – you know your clients better than anyone. So you decide how to run your business and what’s best for your clients. And we design a customized support solution based on your needs, build a community around you, and leverage our collective size to your benefit. And while we take care of operations, compliance, technology and even your succession planning or transition, you maintain your brand, your business practices and how you focus on your clients.
$100,000,000 AUM in Dallas, TX
$350,000 REV / YR 100% FEE 0% COMM
We are a two-man shop operating out of Dallas and The Woodlands, TX. We are looking to grow our book of 401(k)/403(b)/Defined Contribution plans, which accounts for approximately 80% of our revenue. The other 20% of our revenue comes from private wealth management and financial planning services for individuals and families with Charles Schwab as the custodian. Our AUM has nearly doubled in the past 2 years. We are unique and compete best in the company retirement plan space, with one advisor who has 20+ years of experience in retirement plan administrative and recordkeeping services and another advisor with a CFP® designation and MBA who has 5+ years of experience in investment advisory services. The company retirement plans we advise are "unbundled", and we currently work with 5 different administrators/recordkeepers and Charles Schwab or Matrix as the primary custodians. Our primary goal on this platform is to "buy" (or pay a commission) for company retirement plans. This is something we have done before and would do again if it is the right fit. We would consider a merger if it could provide more support and assets in the private wealth management side of our business.
$105,000,000 AUM in Knoxville, TN
$2,000,000 REV / YR 90% FEE 2% COMM
We are a privately owned, client-centric fiduciary firm in Knoxville, Tennessee that is uniquely positioned to help today’s small business owners grow the value of their business through personal wealth management, business planning, and coaching. It is our mission to help our clients and their teams reach their individual goals; one conversation, one meeting, and one action at a time. The firm’s investment strategy is one that combines the efficient market hypothesis with the three-factor model, modern portfolio theory, and portfolio rebalancing. We believe that, by leaning on some of the brightest minds in economics and the financial industry, we have created a proven and intellectually sound approach to maximizing our clients’ assets. Becoming America’s premier planning firm for forward-thinking business owners and ultimately, revolutionizing the way business owners conduct their planning has always been our vision. This has been a driving force behind the expansion of services and commitment to the continued education of our clients and our team. As a result, our founder has become a nationally recognized thought leader in the industry and has been named the Exit Planning Institute’s Leader of the Year, Knox Biz’s 40 Under 40, and has been awarded the Investopedia Top-100 Advisor designation for four consecutive years. Ideal firms and/or advisors for us to partner with would be those proven in asset management with designations such as Chartered Investment Counselors and Certified Investment Management Analysts, and Chartered Financial Analysts. If you’re interested, we would love to discuss this opportunity in greater detail.
$40,000,000 AUM in Denver, CO
$270,000 REV / YR 100% FEE 0% COMM
I like to find a book I can buy so I may service the clients on their life insurance needs. and wealth management needs. Some RIAs do not offer and want to be bothered about life insurance, Long term care, or the Last to die policy. I have a big life insurance book in force and most of the money that I manage came from the life policies I sold for the last 34 years. I like to work with RIA that has the same value as mine, which is to be diligent and grow client assets regardless of market condition.
$75,000,000 AUM in Valley View, OH
$500,000 REV / YR 100% FEE 0% COMM
We are an independent, hybrid financial planning firm affiliated with one of the top independent broker/dealers in the country. We have offices throughout Ohio and clients across the country. We specialize in comprehensive financial planning with expertise in asset accumulation and retirement distribution strategies. We are interested in attracting books of business that fit our business model. Specifically, fee-based managed money and mutual fund portfolios. Merger opportunities for producers seeking a turn-key office infrastructure with staff, technology and transition assistance. Competitive payout as well as succession planning available. Please reach out to us to start a conversation.
$37,000,000 AUM in Minneapolis, MN
$345,000 REV / YR 100% FEE 0% COMM
We are an independent registered advisor having Schwab as our custodian. Clients are billed at 100% fee only. There are 76 households. We use mutual funds, ETFs, Social Responsibility (ESG) funds as applicable, and no load annuities. Our research, process, risk profiles, corresponding models, monitoring, analyzing, and planning with the client contribute to our clients realizing their satisfaction and results. Additionally, Tax planning, preparation by owner/ CPA, PFS enhance their outcome. Would prefer to combine the tax component with the merged or one the buyer works with. Our objective: do what is best for the client. When our clients benefit we will benefit indirectly. We plan to find a buyer who will do right for our clients of many years, by enabling relationships and trust with them. Our hope is the buyer will have the same job satisfaction working our clients that we have. Goal is to merge. sell, and transition clients in time.
$450,000,000 AUM in Miramar Beach, FL
$3,000,000 REV / YR 100% FEE 0% COMM
Arbor Wealth is a fee-only, fiduciary independent RIA located in Miramar Beach, FL. We manage custom-created portfolios of individual equities and fixed income, do holistic ongoing financial planning for every client, prepare our client's tax returns in-house and consult on estate planning with a FL licensed attorney on staff. All services are included in our AUM fee. We are a family-owned and operated business with the second generation now assuming control of the RIA. As such, we are an excellent fit for any advisor looking to transition to retirement/part-time who wants to work with younger but very experienced partners. We are only interested in purchasing practices.
$55,000,000 AUM in Atlanta, GA
$675,000 REV / YR 70% FEE 10% COMM
Independent RIA for Fee based planning. 125 clients setup on monthly billing retainers.Corporate RIA for Advisory asset management.$40 million AUM on Fidelity IWS platform with YOY growth of 20%.B/D assets of $15 million including direct mutual funds, annuities and 401k business. Maintaining a holistic planning service offering to existing clients and referrals throughout a merger or acquisition.
$111,000,000 AUM in Fort Lauderdale, FL
$1,000,000 REV / YR 100% FEE 0% COMM
Our main business operations are located in Central WI. Looking to expand into the Fort Lauderdale, FL area. We are a combination of 3 firms: RIA, insurance and tax firms. Actively looking to acquire other firms or advisors with books of business. Since I am young, can also easily serve as a succession plan for older advisors looking toward retirement. We have built a tremendously successful business model over many years of experience. Our client retention is excellent due to our focus on service and ongoing communication.
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