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$22MM AUM | $335,000 GDC IN
STAMFORD, CT

Listing Type
Merge | Find Successor | Continuity
AUM
$22,000,000
Gross Revenue
$335,000
# of Accounts
150
Avg Client Age
55
Compatibility
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Status
Accepting Inquiries
21
Inquiries
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OVERVIEW



I am looking to onboard one or more advisors, build a team to serve my clients,
create a succession plan and expand my practice. My expertise is in estate
planning and closely-held business planning. I would ideally bring in an
advisory asset management practice and leverage our respective areas of
strength.


Last Activity
6 months or more


BUSINESS DATA


CLEARING FIRM / CUSTODIAN




THIRD PARTY MONEY MANAGERS




MUTUAL FUNDS




VARIABLE ANNUITIES




INSURANCE BUSINESS




TECHNOLOGY SOLUTIONS




CRM SYSTEMS



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removal of the listing.



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SIMILAR LISTINGS
NEAR STAMFORD, CT


$17MM in Stamford, CT
Buyer | Merge | Continuity
$200,000
REV / YR
100%
FEE
0%
COMM
We are an event driven Investment Manager that analyzes and invests in the
public equity and debt securities of companies that trade at steep discounts to
Private Market Value (PMV) and Sum-of-Parts (SOP) valuations. We are seeking
equity and debt focused RIA's seeking a merger partner or succession plan.
$20MM in Stamford, CT
Buyer | Merge
$150,000
REV / YR
100%
FEE
0%
COMM
We are a newly formed RIA with a strong relationship to a large family office
looking for like minded investment advisers to join an open architecture
platform. We have capital and financing available to advisers looking to grow
through acquisitions, successions, and partnerships. We are mindful and
respectful of the business that you have built over your career and are open to
all discussions about leveraging our operational infrastructure in order to
provide an exceptional platform, more time for you to focus on your clients and
growth, and the possibility of a better margin. In addition, if the need
presents itself, we have the capability to leverage our 15+ years of
institutional expertise and background for retail clients by providing risk
mitigation or yield enhancement strategies as well as custom designed
portfolios, including ETF allocation models.
$18MM in Greenwich, CT
Buyer | Merge | Succession
$330,000
REV / YR
85%
FEE
15%
COMM
looking to grow through partnership, mergers, and acquisition
$22MM in Oyster Bay, NY
Buyer | Merge
$185,000
REV / YR
100%
FEE
0%
COMM
We would consider merging our practice with another firm to gain AUM.
$20MM in White Plains, NY
Buyer | Merge | Succession | Continuity
$180,000
REV / YR
90%
FEE
10%
COMM
I am a financial advisor looking to purchase financial practices to supplement
my own practice. One of the largest Broker-Dealers is supporting my efforts to
purchase an existing practice and can help close a transaction seamlessly and
quickly. The purchase of an existing RIA is also desirable. I have extensive
Wall Street investment banking experience (mergers & acquisitions and IPOs) in
Manhattan. I am also a CPA, MBA and ChFC with emphasis on managing portfolios
for small businesses, trusts, pension plans and HNW individuals. I utilize
Managed Accounts and Asset Allocation Portfolios, and to a lesser extent,
trading accounts, variable annuities and life insurance. I am looking for
practices with $10 - $50 million in AUM with similar clientele. I am most
flexible with seller involvement and terms of a transaction.
$31MM in White Plains , NY
Buyer | Merge
$217,345
REV / YR
80%
FEE
20%
COMM
I would like to purchase other financial practices in NY or in the East Coast of
Florida. From Miami to St. Augustine in Florida.
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LOSS OF DATA, LOSS OF USE, OR COSTS OF OBTAINING SUBSTITUTE GOODS OR SERVICES)
ARISING OUT OF THE USE, INABILITY TO USE, UNAUTHORIZED ACCESS TO OR USE OR
MISUSE OF THE SERVICES OR THE WEBSITE OR ANY INFORMATION CONTAINED THEREON,
WHETHER BASED UPON WARRANTY, CONTRACT, TORT (INCLUDING NEGLIGENCE), OR
OTHERWISE, EVEN IF THE PERSON OR ENTITY HAS BEEN ADVISED OF THE POSSIBILITY OF
SUCH DAMAGES OR LOSSES.

YOU AGREE SUCCESSION LINK’S TOTAL CUMULATIVE LIABILITY IN CONNECTION WITH THESE
TERMS OF SERVICE, THE WEBSITE, THE CONTENT, OR THE SERVICES WHETHER IN CONTRACT,
TORT, OR OTHERWISE, SHALL NOT EXCEED THE AMOUNT YOU PAID TO SUCCESSION LINK IN
THE THEN-PRIOR CALENDAR YEAR.

Professional Advice Disclaimer: Any information we provide to you is for
informational purposes only. Use of the Website or the Services is not meant to
serve as a substitute for legal or tax advice. When appropriate, you should seek
independent professional advice.


Indemnification


By using this Website or the Services, you agree to indemnify, hold harmless and
defend Succession Link and its affiliates from any claims, damages, losses,
liabilities, and all costs and expenses of defense, including but not limited
to, attorneys' fees, resulting directly or indirectly from a claim by a third
party that arises in connection with (i) use of this Website or the Services by
you or any other person accessing the Website using your member login account,
(ii) your violation of any term of these Terms of Services; or (iii) your
violation of any third party right, including without limitation any copyright,
property, or privacy right.


Intellectual Property Rights


Unless otherwise noted, all Content contained on this Website is the property of
Succession Link and/or its affiliates or licensors, and is protected from
unauthorized copying and dissemination by United States copyright law, trademark
law, international conventions and other intellectual property laws. Product
names are trademarks or registered trademarks of their respective owners.

We do not claim ownership of Content submitted by users. By submitting such
Content, however, you agree to grant us a world-wide, royalty-free, perpetual,
irrevocable, non-exclusive license to use, distribute, reproduce, modify, adapt,
create derivative works from, and publicly perform or display such Content on
the Website and our social media pages. This license shall remain in effect
until we delete the Content from our systems.

We respect the intellectual property of others, and we ask you to do the same.
If you or any user of this Website believes its copyright, trademark or other
property rights have been infringed by a posting on this Website, you or the
user should send notification to our Designated Agent immediately. To be
effective, the notification must include:

1. A physical or electronic signature of a person authorized to act on behalf of
the owner of an exclusive right that is allegedly infringed;

2. Identification of the copyrighted work claimed to have been infringed;

3. Information reasonably sufficient to permit us to contact the complaining
party, such as address, telephone number and, if available, an electronic mail
address at which the complaining party may be contacted;

4. Identification of the material that is claimed to be infringing or to be
subject to infringing activity and that is to be removed and information
reasonably sufficient to permit us to locate the materials;

5. A statement that the complaining party has a good faith belief that use of
the material in the manner complained of is not authorized by the copyright
owner, agent, or the law; and

6. A statement that the information in the notification is accurate and, under
penalty of perjury, that the complaining party is authorized to act on behalf of
the owner of an exclusive right that is allegedly infringing.

Pursuant to the Digital Millennium Copyright Act, 17 U.S.C.A. Sec. 512(c), our
Designated Agent for Notice of claims of copyright infringement can be reached
as indicated below. Service of repeat infringers of copyright or of users about
whom repeat claims of copyright infringement are received will be terminated.

Designated Agent for Claimed Infringement:

Succession Link, LLC,
5580 La Jolla Blvd, Suite 500.
La Jolla, CA 92037
support@successionlink.com

Your acknowledge and agree that upon receipt of a notice of a claim of copyright
infringement, we may immediately remove the identified materials from our
Website without liability to you or any other party and that the claims of the
complaining party and the party that originally posted the materials will be
referred to the United States Copyright Office for adjudication as provided in
the Digital Millennium Copyright Act.


Security


When you register to use the Services on this Website, you may be required to
establish a login identifier and a password. You are responsible for protecting
your login and password from unauthorized use, and you are responsible for all
activity that occurs on your account (including without limitation financial
obligations). You agree to notify us immediately if you believe that your login
or password has been or may be used without your permission so that appropriate
action can be taken. We are not responsible for losses or damage caused by your
failure to safeguard your login and password.


No Implied Endorsements


Unless specified otherwise, any reference to any third party or third party
product or service shall not be construed as an approval or endorsement by
Succession Link of that third party or of any product or service provided by
that third party. Likewise, a link to any third party website or third party
advertisement does not imply that we endorse or accept any responsibility for
the content or use of such website. Succession Link does not endorse, warrant or
guarantee any product or service offered by any third party through an online
discussion medium accessible through this Website and will not be a party to or
in any way monitor any transaction involving any third party providers of
products or services. As with the purchase of a product or service through any
medium or in any environment, you are responsible for exercising appropriate
judgment and caution.


Conduct on Website


Your use of this Website is subject to all applicable laws and regulations and
you are solely responsible for the contents of your communications through this
Website. You shall not, and shall not permit any third party to, take any action
or upload, download, post, submit or otherwise distribute or facilitate
distribution of any Content on this Website, that:


1. Is unlawful, threatening, abusive, harassing, defamatory, libelous,
deceptive, fraudulent, invasive of another’s privacy, tortious, contains
explicit or graphic descriptions or accounts of sexual acts (including but not
limited to sexual language of a violent or threatening nature directed at
another individual or group of individuals), or otherwise violates our rules or
policies;

2. Victimizes, harasses, degrades, or intimidates an individual or group of
individuals on the basis of religion, gender, sexual orientation, race,
ethnicity, age, or disability;

3. Infringes on any patent, trademark, trade secret, copyright, right of
publicity, or other proprietary right of any party;

4. Constitutes unauthorized or unsolicited advertising, junk or bulk email (also
known as “spamming”), chain letters, any other form of unauthorized
solicitation, or any form of lottery or gambling;

5. Contains software viruses or any other computer code, files, or programs that
are designed or intended to disrupt, damage, or limit the functioning of any
software, hardware, or telecommunications equipment or to damage or obtain
unauthorized access to any data or other information of any third party; or

6. Impersonates any person or entity, including any of our employees or
representatives.


Jurisdictional Issues


We make no representation that information on this Website or the Services we
provide are appropriate or available for use outside the United States. Those
who choose to access this Website from outside the United States do so on their
own initiative and at their own risk and are responsible for compliance with
applicable local laws.


Termination


We may terminate any user's membership or access to our Website or the Services,
in our sole discretion, for any reason and at any time, with or without prior
notice. It is our policy to terminate users who violate these Terms of Service,
as deemed appropriate in our sole discretion. You agree that we are not liable
to you or any third party for any termination of your access to our Website or
the Services.


Disputes


These Terms of Service shall be governed by and construed in accordance with the
laws of the State of California. Any dispute relating in any way to your visit
to, or use of, the Website or to the Services you use or purchase through the
Website (including a membership), or to your relationship to Succession Link
shall be submitted to confidential arbitration in San Diego, California;
provided, however, that to the extent that you have in any manner violated or
threatened to violate our intellectual property rights, we may seek injunctive
or other appropriate relief in any state or federal court in the State of
California. You hereby consent to, and waive all defenses of lack of personal
jurisdiction and forum non conveniens with respect to, venue and jurisdiction in
the state and federal courts of California. Arbitration under these Terms of
Service will be conducted pursuant to the Commercial Arbitration Rules then
prevailing at the American Arbitration Association. The arbitrator’s award will
be final and binding and may be entered into as a judgment in any court of
competent jurisdiction. To the fullest extent permitted by applicable law, no
arbitration under these Terms of Service will be joined to an arbitration
involving any other party subject to this Terms of Service, whether through
class action proceedings or otherwise. You agree that regardless of any statute
or law to the contrary, any claim or cause of action arising out of, related to
or connected with the use of this Website or these Terms of Service must be
filed within one (1) year after such claim of action arose or be forever banned.

ARBITRATION IS MORE INFORMAL THAN A LAWSUIT IN COURT. ARBITRATION USES A NEUTRAL
ARBITRATOR INSTEAD OF A JUDGE OR JURY, ALLOWS FOR MORE LIMITED DISCOVERY THAN IN
COURT, AND IS SUBJECT TO VERY LIMITED REVIEW BY COURTS. ARBITRATORS CAN AWARD
THE SAME DAMAGES AND RELIEF THAT A COURT CAN AWARD. YOU ACKNOWLEDGE AND AGREE
THAT YOU ARE WAIVING YOUR RIGHT TO A TRIAL BY JURY.

YOU ACKNOWLEDGE AND AGREE THAT ANY CLAIMS BROUGHT BY YOU AGAINST SUCCESSION LINK
MUST BE BROUGHT IN YOUR INDIVIDUAL CAPACITY, AND NOT AS A PLAINTIFF OR CLASS
MEMBER IN ANY PURPORTED CLASS, COLLECTIVE ACTION, OR REPRESENTATIVE PROCEEDING.
YOU ACKNOWLEDGE AND AGREE THAT YOU ARE WAIVING YOUR RIGHT TO PARTICIPATE AS A
PLAINTIFF OR CLASS MEMBER IN ANY PURPORTED CLASS, COLLECTIVE ACTION, OR
REPRESENTATIVE PROCEEDING.

Further, unless both you and Succession Link agree otherwise, the arbitrator may
not consolidate more than one person's claims with your claims, and may not
otherwise preside over any form of a representative or class proceeding. The
arbitrator may award declaratory or injunctive relief only in favor of the
individual party seeking relief and only to the extent necessary to provide
relief warranted by that party's individual claim.


Severability


If any part of these Terms of Service is held to be unlawful, void, or
unenforceable, that part will be deemed severable and shall not affect the
validity and enforceability of the remaining provisions.


Entire Terms of Service


These Terms of Service constitute the entire agreement and understanding between
the parties relating to the subject matter herein. We may, at our sole
discretion and without notice, revise these terms at any time by updating this
posting.


Notice


Except as explicitly stated otherwise, any notice required or permitted by this
Terms of Service must be in writing. Any notice to Succession Link must be sent
to info@successionlink.com. Any notice to you may be given: (1) to the email
address you provide to Succession Link during registration or when your email
address changes, in which case notice will be deemed sufficient 24 hours after
the email is sent unless the sending party is notified that the email address is
invalid; or (2) by certified mail, postage prepaid, return receipt requested, to
the last mailing address you provided to Succession Link, in which case notice
will be deemed sufficient three days after the mailing date.


Miscellaneous


We shall not be liable for any failure to perform our obligations hereunder
where such failure results from any cause beyond our reasonable control,
including, without limitation, mechanical, electronic or communications failure
or degradation. These Terms of Service are personal to you, and are not
assignable, transferable or sublicensable by you except with our prior written
consent. We may assign, transfer or delegate any of our rights and obligations
hereunder without consent. No agency, partnership, joint venture, or employment
relationship is created as a result of these Terms of Service and neither party
has any authority of any kind to bind the other in any respect. Our failure to
enforce any part of these Terms of Service shall not constitute a waiver of our
right to later enforce that or any other part of these Terms of Service. Waiver
of compliance in any particular instance does not mean that we will waive
compliance in the future. In order for any waiver of compliance with these Terms
of Service to be binding, we must provide you with written notice of such waiver
through one of our authorized representatives.


Modifications to Terms of Service


We may change the Terms of Service at any time for any reason by updating this
posting. You are responsible for periodically reviewing these Terms of Service
for revisions. Changes in the Terms of Service will be effective when posted. If
Succession Link makes a material change, Succession Link will notify you here in
this Terms of Service or by any other means we deem appropriate. Succession Link
may determine, in its sole discretion, in good faith, what constitutes a
"material change" using common sense and reasonable judgment. Your use of the
Website and/or the Services after we have modified this posting will constitute
your acceptance of any changes.


Contact

You may contact us at the following:

5580 La Jolla Blvd, Suite 500.
La Jolla, CA 92037



Effective Date of Terms of Service: September 15, 2017

© SUCCESSION LINK 2023.

SUCCESSION LINK

WEBSITE PRIVACY POLICY

EFFECTIVE DATE: MARCH 8TH, 2017

1. INTRODUCTION. Succession Link, LLC (“us,” “we,” or “Company”) is committed to
respecting the privacy rights of its customers, visitors, and other users of the
Company Website (“the Site”). This Website Privacy Policy (“Privacy Policy”) is
an agreement between the Company and you, as the user of the Site (“you”). This
Privacy Policy is only applicable to the Site, and not to any other websites
that you may be able to access from the Site, each of which may have data
collection, storage, and use practices and policies that differ materially from
this Privacy Policy.

2. INFORMATION COLLECTION PRACTICES

2.1. TYPES OF INFORMATION COLLECTED

(a) TRAFFIC DATA COLLECTED. We automatically track and collect the following
categories of information when you visit our Site: (1) IP addresses; (2) domain
servers; (3) types of computers accessing the Site; and (4) types of web
browsers used to access the Site (collectively “Traffic Data”). Traffic Data is
anonymous information that does not personally identify you but is helpful for
marketing purposes or for improving your experience on the Site. We also use
“cookies” to customize content specific to your interests, to ensure that you do
not see the same advertisement repeatedly, and to store your password so you do
not have to reenter it each time you visit the Site.

(b) PERSONAL INFORMATION COLLECTED. In order for you to access certain
information and services that we offer via the Site, we require you to provide
us with certain information that personally identifies you (“Personal
Information”). Personal Information includes, but is not limited to, the
following categories: (1) Contact Data (such as your name, mailing address, and
email address); (2) Financial Data (such as your account or credit card number);
(3) Demographic Data (such as your zip code, age, and income); and (4) Business
Data (such as company and business information). If you communicate with us by
email, post messages to any of our chat groups or forums, or otherwise complete
online forms, surveys, or contest entries, any information provided in such
communication may be collected as Personal Information.

2.2. USES OF INFORMATION COLLECTED

(a) COMPANY USE OF INFORMATION. We use Personal Information to send you
information about our Company or our products or services, or promotional
material from some of our partners, or to contact you when necessary, to verify
your qualifications for certain products or services and to bill you for
products and services, and to customize and tailor your experience on the Site,
displaying content that we think you might be interested in and according to
your preferences.

(b) SHARING OF PERSONAL INFORMATION. We share Personal Information we collect
from you with advertisers and other third parties, with other companies who may
want to send you information about their products or services, and with our
business partners who assist us by performing core services (such as hosting,
billing, fulfillment, or data storage and security) related to our operation of
the Site. We may sell or license portions of our company and/or assets,
including Personal Information collected through the Site. If the Company or
substantially all of its assets are acquired, Personal Information may be one of
the assets transferred to the acquirer. We do not share your Financial Data with
third parties unless it is related to billing. If you do not want us to share
your Personal Information with any third parties, please email us at
info@successionlink.com but please understand that such a request will likely
limit your ability to take advantage of all of the features and services we
offer on the Site. In addition, we maintain a procedure for you to review and
request changes to your Personal Information; this procedure is described in
Section 3.1, below.

(c) USER CHOICE REGARDING COLLECTION, USE, AND DISTRIBUTION OF PERSONAL
INFORMATION. You may choose not to provide us with any Personal Information. In
such an event, you can still access and use much of the Site; however you will
not be able to access and use those portions of the Site that require your
Personal Information. If you do not wish to receive information and promotional
material from us or from some of our partners, you may select the appropriate
“opt out” option each time we ask you for Personal Information.

3. CONFIDENTIALITY AND SECURITY OF PERSONAL INFORMATION. Except as otherwise
provided in this Privacy Policy, we will keep your Personal Information private
and will not share it with third parties, unless such disclosure is necessary
to: (a) comply with a court order or other legal process; (b) protect our rights
or property; or (c) enforce our Terms of Service. Your Personal Information is
stored on secure servers that are not accessible by third parties. We provide
you with the capability to transmit you Personal Information via secured and
encrypted channels if you use a similarly equipped web browser.

3.1. USER ABILITY TO ACCESS, UPDATE, AND CORRECT PERSONAL INFORMATION. We
maintain a procedure in order to help you confirm that your Personal Information
remains correct and up to date. At any time, you may visit your personal listing
at www.successionlink.com . Through your personal listing you may: (a) review
and update your Personal Information that we have already collected; (b) choose
whether or not you wish us to send you information about our Company, or
promotional material from some of our partners; and/or (c) choose whether or not
you wish for us to share your Personal Information with third parties.

3.2. LOST OR STOLEN INFORMATION. You must promptly notify us if your credit
card, user name, or password is lost, stolen, or used without permission. In
such an event, we will remove that credit card number, user name, or password
from your account and update our records accordingly.

3.3. PUBLIC INFORMATION. The Site contains links to other websites. We are not
responsible for the privacy practices or the content of such websites. We also
make chat groups, forums, message boards, and news groups available to you.
Please understand that any information that is disclosed in these areas becomes
public information. We have no control over its use and you should exercise
caution when deciding to disclose your Personal Information.

4. CALIFORNIA DISCLOSURES. We do not currently respond to “Do Not Track”
requests. However, you may opt-out of tracking on this Site by changing your
browser settings.

5. UPDATES AND CHANGES TO PRIVACY POLICY. We reserve the right, at any time and
without notice, to add to, change, update, or modify this Privacy Policy, simply
by posting such change, update, or modification on the Site and without any
other notice to you. Any such change, update, or modification will be effective
immediately upon posting on the Site.

© SUCCESSION LINK 2023.

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