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Rebecca Frosch

Understanding the Basic Steps in the M&A Process: A Guide for Financial Advisors

Selling a portion or all of your practice can be a pivotal decision, shaping your legacy and financial future. At JPTD Partners, we specialize in guiding advisors through every step of the mergers and acquisitions (M&A) process. Whether you are preparing to retire, expand, or de-risk, understanding the M&A journey is crucial to securing the best deal for your practice. Here’s how we break it down.


1. Exploratory Call

The M&A process starts with an exploratory call. This is an opportunity to discuss your goals, preferences, and timeline. Whether you’re a few years away from retirement or looking for a strategic partner to grow your business, our goal is to understand your vision and offer tailored advice. During this call, we’ll explore what kind of deal makes sense for you and introduce the concept of an All-In Offer, which includes upfront payments, bonuses, salaries, and earn-outs.


Pro Tip: Have a clear idea of whether you want to sell your entire practice or a portion of it. This decision will impact both the structure of the deal and the type of buyers we target.


2. Intake Form & NDA Agreement

If you decide you like what you hear and want to engage with us, you’ll complete an intake form, giving us deeper insights into your practice’s operations, revenue, assets under management (AUM), and client base.


By gathering this data, we begin building your profile, which will help us market your practice effectively and introduce you to serious potential buyers.


Key Metrics to Consider:

  • Annual Revenue

  • CAGR (Compound Annual Growth Rate)

  • Recurring Fee Income

  • Geography


3. Data Review & Profile Summary

Once we have your intake form and data, we conduct a thorough review of your practice’s financials and operational details. We also assess market conditions to understand how to position your practice for maximum value. This is a critical step in determining your All-In Offer, which includes all aspects of compensation and potential earn-outs based on performance post-sale.


We’ll then create a comprehensive Profile Summary that highlights your practice’s strengths, client demographics, and financial performance. This summary is what we present to potential acquirers who are aligned with your strategic goals


4. Introductory Meetings with Potential Buyers

After finalizing your profile, we arrange introductory meetings between you and pre-vetted buyers or merger partners. These buyers are typically private equity firms or larger financial firms looking to expand through acquisition. We help facilitate these meetings to ensure that both sides are aligned not just financially, but culturally as well.


Cultural Fit: Beyond the numbers, it’s important to ensure that the buyer's values align with yours to provide a smooth transition for your clients.


5. Negotiations & Due Diligence

With interested buyers on board, the next step is to negotiate terms. Negotiation isn’t just about price—it involves defining the transition period, your role post-sale, and potential earn-out structures based on future growth. At JPTD Partners, we guide you through each part of the negotiation, ensuring you maximize value while securing favorable terms.


The due diligence process begins once your (in most cases) non-binding LOI is signed. Buyers will want to review your practice’s financials, net new assets, and compliance records to ensure everything checks out. We help you prepare for this by making sure all relevant data is organized and ready for review.


Important Considerations:

  • Earn-Outs: Will you receive additional payments if certain growth metrics are met?

  • Transition Period: Will you stay on temporarily to ensure a smooth transition for your clients?

  • Non-Compete Clauses: Be sure the terms are reasonable and won’t limit your future opportunities.


6. Deal Closing & Beyond

After successful negotiations and due diligence, the final step is closing the deal. Legal documents are drafted, and we work with you to review all terms, ensuring everything aligns with your expectations. The final All-In Offer will include upfront payments, bonuses, and any earn-out structures agreed upon.


Conclusion

Selling your practice is a complex process that requires careful planning, strategic negotiation, and expert guidance. By following the steps outlined in our process—from exploratory calls to closing the deal—you can maximize the value of your practice and ensure a smooth transition for both you and your clients.


Contact JPTD Partners today to learn how we can help you navigate the M&A process and bring your business full circle.


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