25 tax tips for RIA M&A deals


The price tags of hundreds of M&A deals for registered investment advisory firms draw most of the attention each year, but the tax implications reverberate for far longer.

Through interviews with five experts in RIA M&A transactions and combing through the available research about deals involving any small businesses, Financial Planning compiled the following 25 tax tips. The key concerns for buyers and sellers include entity structure, the allocations in a given transaction, planning strategies such as charitable gifts and an array of other potential tax factors to consider around any RIA M&A deal.  

FP interviewed the following five experts to help assemble the below guidance for financial advisors seeking to sell their RIA or other small business owners pursuing a transaction:

  • Stan Gregor, CEO of Parsippany, New Jersey-based registered investment advisory firm Summit Financial
  • Christopher Toumajian, chief financial officer of Torrance, California-based RIA firm EP Wealth Advisors

Scroll down the slideshow for 25 tax tips for RIA buyers and sellers in M&A deals. 
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