SEC is working on a rule to make practice transition plans mandatory — let us help you get prepared.

Introducing Focus Successions®

Focus has been offering the Focus Successions® solution since 2013 – we see it as an integral part of being a successful advisor to your clients.  More than 70 independent RIAs have already signed succession agreements with a Focus Partner Firm.


 

Fulfill Your Fiduciary Responsibilities Towards Your Clients

The transition rule is on the SEC’s regulatory calendar to address sudden disruption risks to clients and the North American Securities Administrators Association, Inc. (NASAA) has already advanced a model rule requiring advisers to adopt written procedures for business continuity and succession planning.  Let us help you create a plan that meets regulatory needs and ensures the continuity of your vision.


 

Protect Your Family

A well-designed succession plan is critical to passing your wealth and legacy to the ones you love.  In addition to taking care of your clients, Focus Successions® also helps you provide financial security and protection for your family.


 

Retain Your Independence

You will continue to retain your autonomy and independence, managing your firm as you have in the past. You have complete control of your plan, and can trigger or terminate the succession agreement at any time.


 

Step 1: Learn About Focus Successions®

Talk to our Successions team, so we can learn more about you and your business and transition needs.  Also, learn about our program and what it can offer you and your clients.


 

Step 2: Get Matched with a Focus Partner Firm

Based on your information, we match you with one of our Focus Partner Firms. Each of Focus’ highly successful partners has the capability and capacity to support your clients – we will find the firm that best fits your business model, client service philosophy, investment approach, and culture. You and that partner get introduced to each other and sign a formal succession agreement spelling out the full terms for continuity…providing clarity and peace of mind for you and your clients and family.


 

Step 3: Continue Your Way

With this plan in place, you continue to retain your autonomy and independence, and manage your firm until you decide to trigger your succession agreement. Additionally, each year, we help you keep your succession plan active and up-to-date through an annual attestation process.

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