When Your Broker/Dealer or RIA Sells: Facing Business Disruption
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In the world of financial services, change is inevitable. But some changes cut deeper than others. If you’ve recently found yourself grappling with the aftermath of your broker/dealer or RIA being acquired, merged or sold, you’re not alone facing this significant business disruption. These transitions can be jarring, leaving experienced professionals in a state of limbo, questioning not only the future of their business but the promises they’ve made to clients.
Let’s talk about what really happens and how to move forward with confidence.
More than just an announcement
The impact on your practice is more than operational. It’s emotional and reputational. You might experience:
- Client confusion: Clients start asking, “What does this mean for me?” and you’re left holding vague updates from a transition team.
- Uncertainty about service standards: Will service decline? Will it get slower? Will the new team understand your business?
- Loss of trust: It’s hard to tell clients you stand behind a company when that company no longer exists in the same form.
- Strategic setbacks: You may have spent years aligning your practice with their tools, training and marketing, only to have to start over.
These aren’t minor issues. They shake the foundation of your business.
Let’s talk about what stability could look like.
A familiar story in a consolidating industry
In today’s market, these types of sales are not uncommon. Private equity interest, strategic consolidations and shifting corporate priorities are driving a wave of mergers and acquisitions. Unfortunately, these deals often benefit shareholders more than financial professionals and the clients they serve.
If you’ve been through this, you know the drill. Promises of “business as usual” may quickly give way to new rules, declining support for your business, new priorities and a lot of scrambling on your end to protect what you’ve built.
It doesn’t have to be that way.
Trust a company that’s built to last
What if you didn’t have to worry about the ground shifting under your feet? What if the Broker Dealer or RIA you work with had no shareholders to please, no appetite for out, and no private equity ownership or the planned future sales that come with that?
That’s the strength of working with Ameritas Investment Company, LLC and Ameritas Advisory Services, LLC
AIC and AAS are wholly owned by Ameritas Life Insurance Corp., a mutual-based company, which means it’s owned by its policyholders, not Wall Street. There’s no risk of it being sold off to the highest bidder. Its long-term commitments are to its clients and to the professionals who serve them.
Why AIC and AAS make sense for displaced financial professionals:
- Stability you can count on: Mutual means mission-first, not market-first.
- Support that understands your business: Built for professionals, not shareholders.
- Client-centric philosophy: The company’s decisions revolve around long-term client value, not quarterly earnings calls.
If you’ve felt the sting of a sale and the business disruption it brings, it may be time to explore a relationship that’s built to last, with the support of a team that can help you every step of the way.
Learn more about our investment advisory and brokerage services.
Securities offered through affiliate Ameritas Investment Company, LLC, member FINRA/SIPC. Financial planning and investment advisory services offered through affiliate Ameritas Advisory Services, LLC.
Ready to stop reacting and start rebuilding?
A disrupted business doesn’t have to stay in disarray. Let this be the moment you move from uncertainty to security. Let’s talk about how AIC and AAS can help you build a business and client experience that’s a reflection of your values and long-term vision.