Focus Financial Partners

Succession/Ownership Transition Services – Non-Custodian/Broker/Dealer

Focus Financial Partners is a leading partnership of independent, fiduciary wealth management firms. Focus provides superior access to best practices, resources, and continuity planning for its partner firms who serve individuals, families, employers and institutions with wealth management, benefits consulting and investment consulting services. Focus partner firms maintain their operational independence, while they benefit from the synergies, scale, economics and best practices of a market leader to achieve their business objectives.

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Focus Successions Education Program

In early 2016, spurred by the recent SEC-proposed and NASAA-adopted regulatory changes, the Focus Successions® Program partnered with J.P. Morgan Asset Management to develop a series of educational programs for financial advisors on business continuity planning.

Leading with a 40 – page white paper, the education initiative rolled out orchestrated email campaigns, webinars, forums and events.

The white paper and the associated programs examine challenges hindering RIAs from effective succession planning and outline viable business continuity choices for advisors. Included are case studies illustrating a variety of common scenarios that many advisors face. These case studies demonstrate situations where advisors have used a range of solution choices to realize their vision of a successful business continuity plan.

For independent RIAs including sole practitioners who are interested in putting in place a robust contingency continuity and succession plan, Focus Successions® offer s a free, non-binding option. The plan ensures the interests of the advisor’s clients and family are safeguarded should he or she wish to retire or should a worst-case event occur.

This is achieved by matching advisors with their choice of nearly 50 Focus partner firms based upon their business model, client service philosophy, investment approach and culture. Advisors retain their independence, and can trigger or terminate the succession agreement at any time, at no cost.

Still in its early stage, the program has already reached over 5000 advisors across the U.S. and changed the way they think about succession planning.

Category Finalists

Key Business Leader

Anita Venkiteswaran

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