The Financial Advisor M&A Guidebook

Best Practices, Tools, and Resources for Technology Integration and Beyond

  • Greg Friedman
  • Shaun Kapusinski

Table of contents

  1. Front Matter
    Pages i-xxv
  2. Greg Friedman, Shaun Kapusinski
    Pages 1-6
  3. Greg Friedman, Shaun Kapusinski
    Pages 7-20
  4. Greg Friedman, Shaun Kapusinski
    Pages 21-28
  5. Greg Friedman, Shaun Kapusinski
    Pages 29-43
  6. Greg Friedman, Shaun Kapusinski
    Pages 45-70
  7. Greg Friedman, Shaun Kapusinski
    Pages 71-94
  8. Greg Friedman, Shaun Kapusinski
    Pages 95-113
  9. Back Matter
    Pages 115-127

About this book


With M&As in the RIA space increasing, many firms are rapidly changing hands with little to no expert guidance on how to successfully execute a merger or acquisition. In 2017, a record number of M&A deals closed in the advisor space – 168 transactions, or a 22% growth over 2016. Aside from a fifth straight year of record highs in M&A activity, the size of the acquired firms has also increased, with average acquisitions involving wealth managers exceeding $1.01 billion in assets under management.  For many advisors, it only takes a handful of missteps during a merger or acquisition to jeopardize their business, but with so much unknown, advisors need a guidebook for success. A significant and often overlooked component to a successful RIA merger or acquisition is the thoughtful integration of technology. This comprehensive guide walks you through the steps of strategy, assessment, implementation, adoption and growth, all while considering how to best inspire and galvanize a firm’s most valuable asset – its people.

Combining the real-life experiences of a life-long financial advisor with the expertise of a 15-year operations director and founder of a large RIA ops network, this book takes real M&A experiences of the financial services industry and offers best practices, tools and resources to help advisors make smart decisions about technology integration that elevates the firm’s goals and solidifies its future success. 


M&A activity technology integration Financial Advisors M&A for RIAs M&A RIA merging firms Systems integration Procedural & policy integration Cultural integration incentive programs training programs Performance management

Authors and affiliations

  • Greg Friedman
    • 1
  • Shaun Kapusinski
    • 2
  1. 1.Private OceanSan RafaelUSA
  2. 2.HIFON LLCWadsworthUSA

Bibliographic information

  • DOI
  • Copyright Information The Editor(s) (if applicable) and The Author(s), under exclusive license to Springer Nature Switzerland AG, part of Springer Nature 2018
  • Publisher Name Palgrave Macmillan, Cham
  • eBook Packages Economics and Finance Economics and Finance (R0)
  • Print ISBN 978-3-030-00002-8
  • Online ISBN 978-3-030-00003-5
  • Buy this book on publisher's site