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Succession Planning for Financial Advisors

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Why Financial Advisors Need A Succession Plan

Just as helping clients anticipate and prepare for developments in their lives is a fundamental part of the financial advisor’s role, so is preparing for future developments in your advisory firm itself.

Whether your priority is to enable your own retirement or reduced involvement, or to energize your firm with fresh resources for growth in the interim, EP Wealth Advisors® can help you develop a succession plan intended to serve your clients’ best interests—as well as your own. 

The Growth and Continuity Benefits of Selling Your Financial Planning Practice

For financial advisors as well as their clients, selling a financial planning practice can bring benefits that can include enhanced services, technology and added expertise, as well as seamless continuation of client relationships in which many years may have been invested. 

  • Access to a greater range of services adds value beyond traditional investment management, helping counter fee compression. 
  • Advanced technology keeps you competitive in an era when mobile apps and a superior online experience are expected by clients of all generations. 
  • Regulatory expertise provides oversight and manages implementation to ensure you’re keeping up with new rules and requirements. 
  • Client events and communications that help keep your clients engaged with your practice 
Jon Moore new

My father and I reached a point where we wanted different things with Moore Financial Group. He wanted to retire, and I was looking for the back office support that would free me to focus on my clients and developing my craft as a Financial Advisor. I worked with EP Wealth Advisors on the transition and what I found most valuable were the depth of tools and training available. We have Advisor Tuesdays so we can connect across all peers, we have the investment team giving weekly advisor calls, the financial planning team doing monthly trainings, and marketing materials to support the communications with clients and prospects. 

- Jon Moore, Regional Director, Denver 

Talk to an Advisor Who Partnered with EP Wealth Advisors®

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Helping Financial Advisors Succeed in Succession

EP Wealth Advisors, through its own scale and experience, as well as the resources provided through the minority, equity-only interest held by Wealth Partners Capital Group, provides the resources and capabilities that offer peace of mind for you. Led by principals Brian Parker, Patrick Goshtigian and Derek Holman, the EP Wealth Advisors team offers: 

  • Relationship Management Support – Advisor access to dedicated operations personnel, CFP®financial planners, and an experienced portfolio manager, plus pairing of associate advisors with our financial advisors with large books of business
  • Latest Technology – Client access to a Personal Financial Website that provides clarity into net worth, balance sheet, and cashflow right at their fingertips 
  • Compliance Department – Relief from compliance paperwork, oversight requirements, and the need to stay up to date  
  • Client Experience and Lead Generation – Advisor access to a senior marketing executive to develop individualized marketing strategies  
  • Experienced Advisor Peers – Capable hands ready assist your clients when you retire 

EP Wealth's Approach to Your Succession Plan

Our experienced team works with you to map a transition that helps retain and transition clients, value your business, and create a succession for you.

Assess the Fit

Assess the Fit

Your dialogue with us will start a discovery period which serves to: Share firm information and determine whether the sale is a good fit from both a cultural and a business perspective

Establish the Terms

Establish the Terms

Following a discussion, we reach an agreement based on value structure, timing, and process.

Create a Transition Plan

Create a Transition Plan

Our Transition Team meets with you to ensure the smoothest possible client onboarding through client communications, documentation, press releases, and web transition.

Implement Transition

Implement Transition

We ask questions and get to know your support team to help transition clients to our operational, reporting, financial planning, and investment platforms


On Your Path

We help you transition your team and your clients to EP Wealth Advisors. Then we proceed with your plans, whether they include immediate retirement or continuing involvement in a selective role with the firm


We wanted to find a place that truly cared about clients as well as a retirement offramp for Marilyn, my business partner at the time. After meeting with the team at EP Wealth, we created a plan that included a transition. Marilyn is now happily retired, and I'm grateful to focus my time helping clients.  

- Lynn Ballou, Senior Vice President, Lafayette

Talk to the Executive Team

We are looking forward to hearing from you about your goals and your practice. 

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