Following the issuance of a model rule by NASAA for state regulators and a proposed rule by the SEC, it has become a regulatory priority. However, the majority of advisors do not have a viable plan in place and there are very few options available to advisors who wish to retain their independence. That is why we elected to add continuity and succession planning to its offering to independent investment advisors.
Continuity Planning
Our simple, straightforward continuity planning solution is designed to protect your clients and your family in the event of death or disability. Continue to run your practice as you always have comfortable knowing your clients will have the opportunity to become clients of industry-leading wealth management firm CWM and can receive the same high level of service as you provided. You and your family will also have the opportunity to receive market value for your firm.
Succession Planning
Our succession planning solution allows you to prepare for your voluntary exit. Ensure a smooth transition by first moving your clients onto the CWAS platform while you still run the firm as a Strategic Partner. We can handle the busywork associated with investments, operations, compliance and other services. You focus on client facing activities while enjoying some new found lifestyle. You continue to own 100% of your clients, 100% of your brand, and 100% of firm equity and economics until you decide to retire.