Future-proof your RIA
Unlock your new future
Maximize the value of your business and set your team and clients up for a confident future. Whether you’re exploring potential acquirers or creating succession plans, our team guides you through the due diligence process, ensuring every step taken is a step toward future success.
Start your next chapter with confidence and support
Preparing to move on from the legacy, team, and client relationships you’ve built is more than a quick sell. We help you formulate an exit strategy that meets your needs and honors your vision for the future.
Dynasty Network advisors share their perspectives on the benefits of full independence.
“ Having a succession plan is extremely important for advisors so that your clients feel comfortable knowing there is a plan for their family and the incredible wealth they have worked so hard for. We all know things can change and things can change quickly. Clients want to know that there is someone past you that can really be there to service them and help them. “
“ Succession planning excites me because it means building something that survives beyond me and that does good in the lives of our client families. We have clients who are second and third generation, with who my father was doing business when I was in grade school. What I look at what we’ve been able to do for their families, it’s incredibly gratifying. Knowing that my firm will continue to do that work, even when I’m long gone, really excites me. “
“ A succession plan is critically important for an advisor because it is for the clients. Clients expect us to be looking out for them and want to know beyond a doubt that there is someone that knows what their needs are. “
“ I think I’ve always been pretty happy, but I will say I am enjoying my profession a lot more today than I did prior to launching our own RIA. “
Powered by Dynasty
Investment Banking Capabilities
Dynasty’s M&A and Capital Strategies team will be your advisory partner to support your deal execution from start to finish, help maximize value, and align interests between buyers and sellers.
Becoming M&A ready involves more than just envisioning the business you want to build. You must understand the critical decisions to help you get there, including constructing the right ownership and share class structure, employing a repeatable M&A strategy, setting up proper governance, access to friendly capital, understanding deal structures, and accommodating succession planning. Dynasty is dedicated to being an advisor to advisors by providing top-tier investment banking and advisory capabilities, education, and strategies so you can close M&A deals with confidence and focus on what matters most – your clients.
Dynasty Business Solutions
Better serve your clients and build enterprise value through our unparalleled WealthTech platform and proprietary combination of integrated solutions and differentiated services.
Our comprehensive and proven transition process helps ensure a successful launch of your new firm, through our detailed, hands-on process that guides advisors in all steps involved in transitioning their business.
Full-time transition lead
- Act as single point of contact across all components of your transition
- Identify and develop relationships with key Dynasty preferred resource partners
- Manage all strategic partner relationships
- Introduce and consult on all Resource Partners
Business formation and firm structure
- Determine ownership structure
- Develop corporate strategy and structure
- Create legal entity (LLC, Corporation)
- Assist in drafting Operating Agreement
- Determine business insurance needs
Legal and compliance setup
- Initiate firm and representative registrations (Form ADV and Form U4)
- Draft required compliance policies and procedures
- Educate and train firm CCO and staff via ‘CCO Course’
- Develop Investment Advisory Agreement
Real Estate search and office set up
- Execute NDA with Property Management Company and Real Estate Company
- Identify office space and negotiate leasing terms
- Consult on office buildout
- Coordinate furniture and move in deliveries
Custodian transition and complete asset mapping
- Review and select custodian
- All client holdings and money movement needs
- 3rd party money managers
- Structured products
- Credit and lending products
Brand development and marketing strategy
- Introduction to Dynasty Marketing Resources
- Brand DNA and core messaging
- Digital marketing, social media and marketing
- Website development and data platform
- PR and Communications strategy
- Marketing data dashboard, analytics and insights
Departure and client communication strategy
- Consult on protocol or non-protocol communication options
- Draft client letters communication
- Assist with digital outreach
On-site support for transition date
- Your on-site COO during the transition process
- Organize and send client kits
- On-site team coaching and staff training
We work as a direct extension of your team, integrating our expertise, critical business functions, and middle and back-office requirements.
Connect with peers and industry leaders through exclusive events, education, peer-to-peer networking, and shared experiences that promote collaboration, strategic alliances, and continued growth.
Technology & CRM
Infrastructure, training, analytics, and advice that drive an integrated, dynamic ecosystem of institutional quality allowing advisors to efficiently grow their business and securely serve their clients.
Premier financial and strategic services, backed by proprietary analytics, that help advisors accelerate profitability and maximize enterprise value at every stage of growth.
Investments & Operations
Research, tools, technology, manager access, operations, trading capabilities, and compliance support are needed to offer professional and scalable investment solutions.
Customized growth-oriented branding and communications strategies focused on lead generation, client experience, and lasting brand equity.
A comprehensive compliance solution with the structure, content, tools, and advice to protect the advisor’s firm and clients that takes the complexity and uncertainty out of compliance.
Drive growth in day-to-day operations, achieve long-term objectives, and optimize your clients’ experience through practice management coaching, programs, and webinars.
Dynasty’s Investments Team provides independent advisors with a flexible, customizable platform integrating research, tools, technology, manager access, operations, and compliance support.
- Separately and unified managed accounts
- Advisor as portfolio manager
- Model management overlay
- Alternatives platform
- Capital markets
- Outsourced CIO
- Access to investment banking, insurance and lending oppportunities
- Billing and research
M&A and Capital Strategies
Full-service M&A advisory capabilities
- Dedicated business development resources to support advisor inorganic growth strategies
- Deep bench of resources to support financial analysis, due diligence, and negotiation
- Access to differentiated and flexible capital strategies program
- Comprehensive and proven transition and integration teams
- Flexible structure
- Covenant-lite terms
- Interest only feature available
- No use case restrictions
Revenue Participation Interest (RPI)
- Preferred equity structure that monetizes revenue in exchange for capital
- Innovative “true-up” feature provides additional capital to support growth initiatives, including M&A
- Repurchase right available after a period of time
- No use case restrictions
- Noncontrolling, passive equity structure
- Limited governance terms
- Minimum investment period
- No use case restrictions
Business growth and scale
Focus on productivity and profitability; we offer best practices to elevate client relationships, train senior advisors to become leaders, and drive new growth for your firm while continually fueling ideas and innovation.
Dynasty Enterprise Group
Consult with established RIAs interested in dramatically increasing their enterprise value and elevating their business to the next level. Our team builds bespoke strategic solutions and designs best practices to optimize their firm, increase profitability and improve growth.
Dynasty Marketing Services
In-house agency-style solution for Dynasty Network Partners looking to complement their marketing strategy with creative design and production.
Advisor Services Exchange
Business solution for independent advisors to ensure efficient operations and enterprise growth across these specialized individual offerings: M&A, Marketing, CFO, Compliance, and Capital.
Dynasty and Network Advisor News
SmartRIA® Announces Second Strategic Investment Round from Dynasty Financial Partners and MarketCounsel
March 30, 2023
Why More Financial Advisors Are Bringing In Life Coaches to Help Clients
March 27, 2023
5 Views of How the Vision (and Reality) of Retirement Has Changed
March 24, 2023
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