Your Clients are Business Owners.

Our Clients are Financial Advisors.

This can’t be stressed enough:

We work for your clients. That means we work for you.

We’re all on the same team.

Our Involvement:


1)    You introduce us to
        your clients

2)    Together, we meet with you and
        your client to provide education

3)    We do the heavy lifting if they
        proceed — and keep you informed

4)    We exit once your client’s strategy
        is executed

5)    You reap the rewards

You’ll notice you’re involved from start to finish because you play an important role throughout. A role that can potentially prove quite lucrative:


Increased AUM from proceeds of selling shareholder


Credit for loan referrals needed to fund the ESOP trust


Potential new clients in the form of other selling shareholders


Life insurance referrals


Participant rollovers from the new ESOP


Subsequent liquidity from future share sales

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HOW to Start the Conversation


Your clients want you to bring ideas to the table to show you’re invested in their well-being. That means every conversation you have with a business owner presents an opportunity to discuss whether they’ve given any recent thought to their business succession.

If they haven’t:

Ask them a few high-level questions to get a sense of whether an ESOP makes sense for them.

If they have:

Ask if they want to learn about an option that allows them to maintain control as they transition to retirement.

Download this helpful guide.

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WHEN to Have the Conversation

Ideally, you’ll want to address this during your next formal review with your business owner clients at the latest. Doing so:

  • Shuts the door on competitors who would swoop in — and potentially steal the relationship
  • Demonstrates your commitment to their goals, legacy and well-being
  • Magnifies your standing in their life
Meredith and Michael



We want you to feel comfortable discussing this beneficial — but complex — option with your clients.

Contact us with any questions you have. We’ll be glad to answer.