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Succession Planning for Financial Advisors: Building an Enduring Business, + Website by David Grau Sr.

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Index

  • 30-hour threshold:
    • about
    • case study
  • 83(b) election
  • Accountant, on support team
  • Accounting:
    • Financial Industry Regulatory Authority
    • for phantom stock plan
  • Accuracy of valuation
  • Acquisitions
  • Adhesion, client
  • Advertising, for succession team
  • Age of advisors
  • Agreements:
    • antidilution
    • buy-sell
    • continuity
    • contribution
    • enterprise
    • full-ratchet antidilution
    • guardian
    • noncompete/nonsolicitation
    • operating
    • revenue-sharing (continuity plan)
    • shareholders'
    • weighted-average antidilution
  • Annual valuations
  • Antidilution agreements
  • Asset approach to valuation
  • Asset concentration
  • Asset sales:
    • internal buyout
    • third party, selling practice to
  • Attorney, on support team
  • Attrition
  • Bank financing:
    • availability of
    • benefits of
    • case study
    • funding continuity plan
    • for lump sum payout
    • succession planning with
  • Bank of America/Merrill Lynch
  • Benchmark, cautions about
  • Bills, Treasury
  • Bonds, Treasury
  • Bonuses:
    • cash
    • in cash flow modeling
    • stock
  • Books, sharing
  • Book sales, partial
  • Bottom-line focus
  • Business. See also Family business
    • defined
    • as industry percentage
    • perpetuation considerations
    • practice versus
    • ship model for
  • Business growth:
    • employee stock ownership plans and
    • family business
    • in independent financial services and advisory industry
    • as Lifestyle Succession Plan goal
  • Business model:
    • described
    • production model versus
  • Business systems
  • Buyer-to-seller ratio
  • Buyout, internal:
    • about
    • asset sales
    • continuity agreement
    • deal structure
    • events prompting
    • partial book sales
    • stock sales ...

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