Succession & Continuity Planning
Engineer continuity so the practice survives adviser exits, principal step-back, or Key Individual transition — and prepare the firm for vetted KI succession.
Our Services
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Overview
Succession fails when continuity is assumed instead of engineered.
Most succession plans focus on ownership transfer and intent. They fail to address whether the practice can actually function when key people step back or exit — and whether a qualified Key Individual will step into a firm that's operationally dependent on the principal.
Under FAIS, no experienced KI will accept personal liability for a practice where operational control isn't provable. If you're over 55, FSCA scrutiny on KI succession intensifies. Without a clear path, your license becomes a regulatory liability.
Succession & Continuity Planning is the layer where absence is designed for — and where the practice becomes KI-ready.
This work establishes a clear, operational view of:
What breaks when advisers, principals, or KIs step away
Whether client experience survives role changes without key-person dependency
How knowledge, decision rights, and compliance obligations are transferred
Whether continuity exists in practice — not just on paper
How the practice performs under realistic stress (adviser exit, FSCA review, diligence)
Once the operational layer is defensible, we connect you with vetted Key Individuals from our network — CFP®-qualified professionals who can step in with confidence because the infrastructure is sound.
This is not a future exercise.
It is a present-day stress test that makes succession possible.
Without engineered continuity, succession remains fragile.
With it, transition becomes survivable — and your license remains defensible.
Key Services
Engineer continuity so the practice survives adviser exits, principal step-back, or Key Individual transition — and prepare the firm for vetted KI succession.
Our Approach
Succession fails when continuity is assumed instead of engineered.
Most succession plans focus on ownership transfer and intent. They fail to address whether the practice can actually function when key people step back or exit — and whether a qualified Key Individual will step into a firm that's operationally dependent on the principal.
Under FAIS, no experienced KI will accept personal liability for a practice where operational control isn't provable. If you're over 55, FSCA scrutiny on KI succession intensifies. Without a clear path, your license becomes a regulatory liability.
1. Continuity Stress Test: We map what breaks when key people step away — advisers, the principal, or the current KI.
2. KI-Readiness Assessment: We evaluate whether the practice is operationally sound enough for a qualified KI to step in without inheriting unmanageable risk.
3. Succession Infrastructure Design: We build handover protocols, knowledge transfer systems, and continuity processes that make transition survivable.
4. KI Introduction & Transition Support: Once the firm is defensible, we connect you with vetted KIs from our network and support the transition until it stabilizes.
Who It’s For?
Our Succession & Continuity Planning service is built for principals preparing for transition — or who need to prove continuity under pressure.
Principals over 55 facing FSCA scrutiny on KI succession readiness
Practices where no clear successor exists and continuity depends entirely on the founder
Firms preparing for sale, partner entry, or adviser exits that could destabilize client relationships
Schedule a free consultation!
Contact us now to schedule a consultation.