An Alternative to Traditional Succession Planning for Financial Advisors and Their Clients

Many industry surveys and experts report that most financial advisory firms continue to ignore the topic of succession and/or continuity planning for a variety of reasons.  The main reason may well be that the traditional option of selling the business is not right for everyone. The firm’s principals wrestle with many questions including:

  • What multiple will they receive for the practice if they decide to sell it
  • Will there be a cultural fit between what they have built and the acquirer
  • What impact will a sale have on our clients and employee
  • Will we have to self-finance the acquirer and what impact will that have on my exit

On July 26, join John Vitucci as he discusses succession planning and how ESOPs, employee stock ownership plans as an alternative to a traditional sale.  By creating an ESOP, a business owner can monetize his most valuable asset, provide ownership opportunities to their employees and continue to manage their firm as they see fit. This webinar addresses the nuances of ESOP’s and will help you, the business owner, determine if creating an ESOP is in yours, your clients and your employees best interest.


  • Compare and contrast different succession planning options
  • Determine if creating an ESOP is a viable succession/continuity planning solution for your business
  • Identify the requirements needed to create, establish and manage an ESOP
  • Understand how succession planning can create diversity and employee ownership
  • Learn how to minimize tax liabilities that normally exist in a traditional sale

Who should attend the Webinar?

  • Financial advisory professionals that are frustrated with traditional succession planning methods
  • Entrepreneurs and small business owners

About your seminar leader:

John is a Principal in the Employee Benefit Services Group of PKFOD O’Connor Davies, LLP and has more than 30 years of experience working with Fortune 500 corporations, investment banks and financial advisory firms in all areas of employee benefits, executive compensation and ERISA. John is currently an adjunct professor at Columbia University where he teaches Pensions & ERISA and Oral Communications for Actuaries in the Actuarial Master’s Program.