We provide a combination of valuable perspectives having built and sold RIAs, served in senior executive leadership, field management and sales roles representing global banks, brokerage and investment firms, and private wealth managers.
Retained by global financial services company ($581B in AUM) to identify candidates for entry level, lateral sales, and senior C-Suite roles in the business.
Conducted due diligence and valuation analysis of RIA seller for $113B buyer and advised on potential deal structures.
Represented a $2.8MM wire-house advisor to assess RIA options for transition to independence. Successfully matched candidate with RIA.
Conducted comprehensive review for a $3.5B independent Broker/Dealer/RIA of their wealth management business, developed and executed strategy for enhancement and growth.
Mergers & Acquisitions Advisory
- Buy-side and Sell-side representation.
- Represented International Private Bank in assessing acquisition opportunity of $10MM revenue RIA.
- Represented $240MM AUM RIA seller in sourcing, selecting buyer and negotiating deal points of sale.
- Facilitated introduction and structuring of merger between two RIA’s representing $350MM in AUM.
Placement, Retained Search & Recruiting
- Retained by $581B Wealth Management business to source entry-level and experienced advisor and C-Suite candidates.
- Engaged to identify C-Suite candidates for a $35B financial services company.
- Recruited and placed financial services advisors totaling over $5 B in AUM.
- Advised $4MM revenue advisor on options for “going independent.”
Business Valuation, Strategy & Exit Planning
- Structured succession and acquisition strategy and plan for $200MM RIAs.
- Placed advisor with RIA and structured a longer-term succession and exit plan.
- Conducted valuation and business analysis on $500MM RIA business for prospective buyers.
- Hired by $3.5B B/D & RIA to review, develop and enhance strategy for growth. Expanded business into two new markets through M&A and recruiting.
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