Case Study: Keeping It in the Family—Without the Tension
David & Jonathan S. – Father-Son Transition, $700M AUMIndependent RIA, Dual-Registered, Midwest U.S. / Ontario David S. had spent over 30 years building a respected independent RIA succession. His son Jonathan, a CFA and CFP® with over a decade of experience, was already working in the practice and poised to take over. But despite a […]
Case Study: The Independence Payoff
Sean M. – Independent Financial Advisor, $280M AUMFormerly regional bank financial advisor At 40, Sean felt constrained at his bank-owned broker-dealer, facing a limited product shelf, high pressure to push proprietary solutions, and poor alignment with his fiduciary values at this particular institution. Through a strategic financial advisor transition facilitated by Advisor Hunt®, Sean joined […]
Case Study: Choosing the Right Successor, Not Just the Familiar One
Tom R. – Independent Financial Advisor, Book Sale $235M AUM Ten years before his planned advisor retirement, Tommy hired a junior associate with the goal of internal succession. Over time, however, it became clear that the associate lacked the leadership qualities needed for long-term success. With guidance from Advisor Hunt®, Tommy made the tough decision […]
Case Study: A Dignified Exit for a Solo Advisor
Claudette T. – Retired Financial Advisor After 30+ years in practice, Claudette was ready to retire—but not at any cost. Her firm’s suggested successor lacked the experience and continuity she felt her clients needed. She also inquired within other nearby offices but those advisors were all too close to retirement or lacked experience as well. […]
Case Study: A Tale of Two Transitions
Chad W. – Independent Financial Advisor, $480M AUMFormerly national bank advisor After 18 successful years with a bank-owned broker-dealer, Chad clashed with a new Regional VP who he thought imposed unwelcome changes. Chad made a hasty switch to another dealer—one recommended by a friend—but soon regretted it. “I questioned whether I even wanted to stay […]
Case Study: From Compliance Fatigue to Cross-Border Specialist
Julie G. – Client Relationship Manager (Referral Advisor), $122M AUMFormerly Registered Representative Bertha was growing frustrated with the increasing compliance demands of her broker-dealer plus several of her clients needed a cross-border US-Canada solution. While she liked the RIA and Portfolio Manager models, becoming a referral advisor meant relinquishing her license—something she wasn’t initially comfortable […]
Chad W., Financial AdvisorIndependent IIROC – $480M Former Big Bank IIROC Vancouver, BC
Chad’s dissatisfaction with his bank dealer reached a peak when he was assigned a newRegional VP with whom he repeatedly clashed. After 18 years at the bank he started to hate hisjob. An advisor friend recommended his dealer and Chad made a hasty decision and switched.Chad regretted his decision soon after his botched transition kicked […]
Bertha G., Referral AdvisorInvestment Counsel Portfolio Manager (ICPM,) $120M AUMFormerly MFDASouthwest Ontario
Bertha was tiring of compliance and the increasing MFDA administrative burdens but wasn’tsure what to do. The Portfolio Manager model appealed to her but given that she is not aPortfolio Manager herself, the ICPM required her to give up her MFDA license and become a“Referral Advisor.”“Quite candidly I wasn’t keen on giving up my license,” […]