Case Study – Broker-Dealer

Posted by:

Service: Change Management and Strategic Initiatives

Client: Nationally Recognized Broker-Dealer


The nationally recognized broker-dealer was in the midst of a transition, brought on when one of the partners announced he was leaving the firm. Although the terms of a partnership buyout had been previously set, the established value of the firm was questioned creating a period of uncertainty. The new leadership team wanted to establish a new strategy that could be implemented quickly and effectively.


First, Brownstone Business Advisors appraised the value of the firm by first using the formula found in the partnership agreement. We also used accepted valuation procedures to determine the fair market value of the broker-dealer. These were used to begin the discussion with the departing partner.

We then met with the new leadership team and facilitated the discovery process resulting in a forward looking strategy for the broker-dealer. The strategy included the firm’s long-term vision and one year objectives.


When the partnership concerns were settled, the leadership team quickly began to implement its strategic plan. The long-term vision was used to help “brand” the broker-dealer and to recruit new advisors. The short-term objectives made an immediate and positive impact and contributed to the successful growth of firm and its advisors.

  Related Articles
  • No related posts found.