PODCAST · business
The Fine Print
by David Grau Jr.
Are you an independent financial advisor managing your own practice? Stay ahead of the game with SRG's "The Fine Print" podcast where Succession Resource Group's experts dive deep into the latest industry trends, recommendations, and observations.With no fluff and a touch of entertainment, we provide valuable insights on understanding and leveraging the value of your business, growing your business through optimized organizational structures and deals, improving and protecting your business for sustainability, and preparing for retirement to maximize results.Each episode brings a fresh perspective to industry trends, empowering you to achieve your business goals. So grab your favorite beverage and join us on SRG Off Script for expert advice on managing your financial services practice.
Episodes
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Contingency Planning for Financial Advisors: Who Takes Over If Something Happens to You? (Ep. 37)
Most financial advisors say they have a contingency plan. Far fewer have one in writing. In this episode of the SRG Exchange, Julia Sexton is joined by David Grau Jr., Parker Finot, Kristen Grau, and Ryan Grau to talk through what happens to your practice if you die, become disabled, or can't…
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Dealing with Acquisition Risk: How Buyers and Sellers Balance Price, Terms, and Uncertainty (Ep. 36)
Every advisory firm acquisition carries risk. The question is not how to eliminate it -- it's how to account for it so the deal still gets done. In this solo episode of The Fine Print, David Grau Jr. breaks down the tools buyers and sellers use to structure deals that acknowledge risk while still...
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To PE or Not to PE: What Every Advisor Should Know About Private Equity Offers (Ep. 35)
Private equity is no longer just for billion-dollar firms. PE-backed aggregators are moving downstream, and advisors with $150M to $500M in AUM are getting unsolicited offers. But are these deals as good as the headlines suggest? In this episode of The Fine Print, David Grau Jr. and Kristen Grau...
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Advisor Compensation: How to Pay Your Team the Right Way (Ep. 34)
Most advisory firm owners know they need to pay their people well. What's harder to figure out is whether they're paying them the right way; and in a market where the go-to compensation benchmarks have largely disappeared, even knowing how much to pay has become its own challenge. In this episode...
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The Exchange: Selling Your Advisory Practice and What Every Owner Needs to Know (Ep. 33)
When you decide to sell your advisory business, you will be approached from every direction — aggregators, PE firms, broker dealers, and peers all ready to make an offer. The question isn't whether demand exists. It's whether you have the right team to make sure you're getting the most out of it....
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What to Expect from M&A in 2026 (Ep. 32)
RIA valuations are at record highs, private equity is reshaping deal structures, and internal succession is evolving faster than ever. In this episode of The Fine Print, David Grau Jr. breaks down the real M&A data from 2025 and maps out what financial advisors should expect for the rest of 2026....
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The Exchange: What Advisory Firm Owners Get Wrong About M&A (Ep. 31)
Most advisory firm owners think they're 80% done with a deal once they've found a buyer and shaken hands on a number. In reality, they may not even be in the first inning. In this episode of The SRG Exchange, SRG's consulting team and General Counsel pull back the curtain on what firm owners...
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The SEC’s Marketing Rule in Advisor M&A: Endorsements and Client Transitions (Ep. 30)
Regulatory scrutiny is evolving, and RIAs involved in acquisitions or succession transitions are starting to see a new area of exam focus: how the SEC’s Marketing Rule endorsement provision may apply to certain client transition communications. In this episode of The Fine Print, SRG General…
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The Exchange: Your Employment Agreement Won’t Protect You Like You Think (Ep. 29)
Employment agreements are often treated as a formality, until a key employee leaves, client relationships walk out the door, or a succession plan starts to unravel. In this episode of The SRG Exchange, SRG’s consulting team and General Counsel break down the real-world role of restrictive…
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The Exchange: Entity Structure and Why It's The Backbone of Your Advisory Firm (Ep. 28)
Entity structure is not just paperwork. It shapes how your firm grows, shares ownership, and eventually transitions. In this episode of The SRG Exchange, SRG’s consulting team and general counsel break down what advisors need to know about entities and entity maintenance, and why firms often...
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The Exchange: The Truth About Advisor Contingency Planning: The SRG Exchange (Ep. 27)
What does a real contingency plan actually look like—and why are so many advisors still unprotected when something goes wrong? In this inaugural episode of The SRG Exchange, SRG’s consulting team sits down for a candid, unscripted conversation about one of the most overlooked areas in an…
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Organic & Inorganic Growth | How to be Successful with Both (Ep. 26)
How do top advisors win at both organic and inorganic growth? In this episode of The Fine Print, SRG President David Grau Jr. sits down with Jeff Concepcion, Founder & CEO of Stratos Wealth, to unpack practical strategies for building a sustainable advisory business. From turning referrals into...
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Empowering Independence | Building Self-Leading Teams with Saša Mirković (Ep. 25)
In this episode of SRG's The Fine Print, host David Grau is joined by Saša Mirkovic from Inspire Network to explore the art of building self-leading teams. Saša shares his journey from financial advisor to a leader in developing teams that thrive independently. Discover the importance of...
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Balancing Act | Exploring Value and Terms in Deals (Ep. 24)
In this episode of The Fine Print, David Grau Jr., President of Succession Resource Group, unpacks the critical—yet often overlooked—relationship between valuation and deal terms in today’s advisor M&A landscape. Building on previous discussions around private equity and industry aggregators…
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What's the Deal with PE and Aggregators ! (Ep. 23)
David Grau Jr. discusses the increasing influence of private equity (PE) and industry aggregators on the valuations and consolidation trends within the Registered Investment Advisor (RIA) industry. He explores historical developments, the rise of aggregators, how their unique deal terms to boost...
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Carrot and the Stick - Protecting Your Advisors and Clients (Ep. 22)
In this episode, David discusses strategies to keep top talent in the financial advisory industry and protect client relationships. He emphasizes the importance of creating a happy, healthy work culture and providing career tracks and mentorship opportunities. David also explores the use of...
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Contingency Planning - Death/Disability Considerations for Advisors (Ep. 21)
In this episode, David Grau discusses the importance of death and disability planning for independent advisors and small business owners. He emphasizes the need to separate succession planning from contingency planning and suggests dividing and conquering these two subjects. Grau explains the...
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Strategies for Building Enduring Wealth Advisory Firms With Ray Sclafani Part 2 (Ep. 20)
Finding talent can be hard. But you don’t always need to find it, with the right approach you can develop it within anybody. This episode is a continuation of David Grau Jr.’s conversation with Ray Sclafani, Founder and CEO at ClientWise, LLC. Join them as they’re dedicated to uncovering the...
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Strategies for Building Enduring Wealth Advisory Firms With Ray Sclafani Part 1 (Ep. 19)
Finding talent can be hard. But you don’t always need to find it, with the right approach you can develop it within anybody. This episode is the first part of David Grau Jr.’s conversation with Ray Sclafani, Founder and CEO at ClientWise, LLC. Join them as they’re dedicated to uncovering the...
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Can’t Find Top Talent? No Problem, You Can ‘Build’ It! (Ep. 18)
Do you ever look at some of the industry’s most successful advisory firms and wonder, “Where are they finding top talent?” After looking under the hood, guess what we found? They don’t find top talent. They build it! Get ready to adapt to a new paradigm of talent management, as David Grau Jr....
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The Founder’s Exit Paradox with Jerome Myers (Ep.17)
Many Advisors dedicate their lives to building their companies. But what happens after they exit their business? The transition can be fraught with unexpected emotional challenges that are often overlooked! Get ready to address the “founder’s exit paradox” with David Grau Jr. and guest Jerome...
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Advisor Deal Lending Simplified with Dustin Mangone and Aaron Racino (Ep.16)
Whether it’s M&A or succession planning, a critical challenge advisors face is navigating the lending process for equity purchases. It’s not just about the access to capital, but also the intricacies of the deal structure! Recognizing this struggle, David Grau Jr. sits down with Dustin Mangone…
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Succession Planning and Scaling Businesses in the Financial Advisory Sector (Ep. 15)
Ever wondered how top financial firms plan for the future? Discover the secrets of scaling your financial advisory business in this engaging episode of The Fine Print. Host David Grau Jr. and guest expert Caleb Brown, co-founder of New Planner Recruiting, dive into effective succession planning...
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How To Elevate Your Business with CRM (Ep. 14)
Ever wondered how CRM can redefine your advisory firm? Join us on The Fine Print, where Rick Williamson, Director of Brand Experience at Redtail/Orion Advisor Technology, brings his dynamic personality and industry expertise to explore the transformative role of Customer Relationship Management...
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The Future of Business Growth with Julia Sexton (Ep. 13)
Want to know what sets successful businesses apart? Join us in the latest Fine Print episode, where Julia Sexton, Director of Strategic Organizational Planning at Succession Resource Group, unravels the complexities of strategic organizational planning. David and Julia’s conversations offer...
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Successful M&A and Financing Strategies with Parker Finot (Ep. 12)
Ever wondered why some deals soar while others sputter? From backdoor metrics to surprising valuations, we’re spilling industry secrets. David Grau Jr. and Parker Finot from SRG invite you to join them as they unravel the mysteries of deal-making in the financial advisory world. Dive into the...
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Advisor NextGen Talent Sourcing and Training Strategies (Ep. 11)
The financial advisory industry is currently facing a significant challenge. The average age of advisors is increasing, and there is a pressing need for new talent. Many advisors struggle with building a team and transitioning their businesses to the next generation. In this episode David Grau…
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Creating a Winning Compensation Plan (Ep. 10)
Ever wondered why top financial advisors stay loyal to their firms or jump ship? Dive into this episode where David Grau Jr. unravels the mysteries of compensation in the financial advisory industry. Discover the pitfalls of traditional revenue-based models and the power of intentional design in...
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Succession Planning: The Secret Sauce to A Smooth Exit Strategy (Ep. 9)
Do you know where your practice is going once you decide to let go of the wheel? Can it survive without your direction? Do you know what processes to start implementing now to ensure a smooth transition of your business? In this episode, David Grau Jr. is joined by Matt Cooper, the President of...
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Building Intentionally: The Key to Creating A Thriving Advisory Firm (Ep. 8)
As the founder of an advisory firm, it’s your moment to embrace the mantle of true leadership and propel your firm towards unprecedented success. While it may seem like a natural progression for a founder, the transition is often more challenging than it appears. In this episode, David Grau Jr....
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How Much is Your Financial Practice Worth? (Ep. 7)
Unleash the true value of your business and pave the path to lasting success! Selling your business requires more than just looking at profits and client numbers. Join us as we uncover the key to understanding what truly makes your business successful and how future owners can sustain that…
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Expanding Your Practice: Key Tips (Ep. 6)
There may be something comforting about selling your practice to someone you know, someone already working with you, but what makes that a better option than selling to a third party? In this episode, David Grau Jr. dives into the complexities of expanding your business and what to consider when...
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The Importance of Succession Planning for Advisors (Ep. 5)
Many advisors often fail to plan for their eventual retirement and succession, risking their legacy and business. Without a well-designed succession plan, they may face difficulties in finding a suitable successor, maximizing the value of their business, and securing their legacy for future...
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Family & Finances: What To Expect (Ep. 4)
There is nothing that can divide a family faster than money issues. When merging firms and keeping them within the family, there are a number of considerations that you need to take into account. In this episode, David Grau Jr. discusses the ins and outs of selling your practice to a family…
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Loans, Interest Rates, and Lending Solutions: Inside PPC Loan with Dustin Mangone (Ep. 3)
Are you struggling to figure out how to finance deals in today’s competitive market, where interest rates are skyrocketing, and valuations are at all-time highs? As an advisor, growing your business through inorganic acquisition can be a tremendous opportunity, but it comes with its challenges,...
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Selling Your Practice: When is the right time? (Ep. 2)
Are you an advisor planning for the future? It’s time to take a closer look at your succession plan. In today’s market, a book of business is no longer just for inheritance and referrals – it’s a valuable asset that can be sold for a significant profit. In this must-listen podcast, David Grau…
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Welcome to The Fine Print With David Grau Jr. (Ep. 1)
Welcome to The Fine Print, the podcast where experts at Succession Resource Group unpack the latest industry trends, recommendations, and observations, for independent advisors managing their own financial services practice, with no fluff and a little entertainment. In this episode: Get an...
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SRG Off Script – Coming Soon
Are you an independent financial advisor managing your own practice? Stay ahead of the game with SRG Off Script, the podcast where Succession Resource Group’s experts dive deep into the latest industry trends, recommendations, and observations. With no fluff and a touch of entertainment, we…
more
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ABOUT THIS SHOW
Are you an independent financial advisor managing your own practice? Stay ahead of the game with SRG's "The Fine Print" podcast where Succession Resource Group's experts dive deep into the latest industry trends, recommendations, and observations.With no fluff and a touch of entertainment, we provide valuable insights on understanding and leveraging the value of your business, growing your business through optimized organizational structures and deals, improving and protecting your business for sustainability, and preparing for retirement to maximize results.Each episode brings a fresh perspective to industry trends, empowering you to achieve your business goals. So grab your favorite beverage and join us on SRG Off Script for expert advice on managing your financial services practice.
HOSTED BY
David Grau Jr.
CATEGORIES
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Frequently Asked Questions
How many episodes does The Fine Print have?
The Fine Print currently has 38 episodes available on PodParley. New episodes are automatically indexed when they're published to the podcast feed.
What is The Fine Print about?
Are you an independent financial advisor managing your own practice? Stay ahead of the game with SRG's "The Fine Print" podcast where Succession Resource Group's experts dive deep into the latest industry trends, recommendations, and observations.With no fluff and a touch of entertainment, we...
How often does The Fine Print release new episodes?
The Fine Print has 38 episodes. Check the episode list to see recent publication dates and frequency.
Where can I listen to The Fine Print?
You can listen to The Fine Print on PodParley by clicking any episode. We provide an embedded audio player for direct listening, and you can also subscribe via your preferred podcast app using the RSS feed.
Who hosts The Fine Print?
The Fine Print is created and hosted by David Grau Jr..
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