// The Mission

A Succession Plan for
Your Advisory Practice.

If you're seeking a thoughtful transition for your wealth management practice — one that stewards your clients and team for the long term — you have found the right partner.

I'm Tom Shaw, a CFA charterholder, with over a decade in the industry. I'm not an aggregator, a roll-up, or a private equity buyer; I'm an individual seeking one practice that will receive my full focus and energy.

Get in Touch

// Background

Thomas Shaw, CFA

Financial and
Operator Background.

What gives me an edge over other suitors is that I've seen many corners of the financial industry over my career. I started in sales at Hennion & Walsh, opening dozens of accounts through cold outreach. From there I spent five years at Vanguard managing ultra-high-net-worth households ($5M+) and learning the fund operations of Vanguard's renowned index funds. Since then, I've been running business operations inside MSCI's Private Assets group, learning what it takes to run a business well.

CFA Charterholder SBA Financing Ready The Vanguard Group MSCI, Inc. FINRA BrokerCheck ↗

// Acquisition Criteria

Are We a Match?

Firm Type
Fee-Based RIA
Independently registered (SEC or state). Predominantly recurring advisory fees — limited or no commission dependence.
EBITDA / SDE
$300K – $750K
Consistent earnings through market cycles preferred.
Geography
NY · NJ · PA · MA · CT · NC · SC
Based in NY/NJ — will relocate for the right practice.
Seller Profile
Retiring, Succession-Minded
An owner who cares who takes over. Paid transition period welcomed and encouraged.
Client Base
Recurring & Fragmented
High recurring-fee revenue, limited top-client concentration, multigenerational relationships.
Strong Pluses
Tax Arm & Tenured Staff
Tax/accounting practice attached, W2 staff continuity, portable investment process, clean regulatory record.

// Let's Connect

I want to hear from you.

Whether you're an advisor thinking about succession, a broker or transition consultant with a listing, an interested investor, or a fellow searcher — feel free to reach out directly. Every conversation is confidential, and I respond to every serious inquiry.

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