Succession and Exit Planning for Wealth Advisors
Succession and Exit Planning for Wealth Advisors
Preparing Advisors and Firms for Successful Leadership, Ownership, and Practice Transitions
Presented by Darci Smith and Ben Douglas
Roklyn Consulting and Rimon, P.C.
đź“… Date: Wednesday, November 11, 2026
🕞 Time: 3:30 PM – 5:15 PM
đź“Ť Location: Orinda Country Club
315 Camino Sobrante, Orinda, CA 94563
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Program Overview
Succession planning is one of the most important long-term decisions a financial advisor or wealth management firm can make. Whether you are a veteran advisor preparing for an eventual exit, a next-generation leader ready to take on greater responsibility, or a firm exploring the acquisition or sale of a practice, a successful transition requires thoughtful planning well in advance.
Join FPA East Bay for an engaging discussion on the practical, strategic, and legal considerations involved in succession and exit planning for wealth advisors.
Darci Smith, founder of Roklyn Consulting, will share insights from her work helping wealth management firms recruit, develop, and transition advisors. With a culture-first approach, Darci helps firms identify the right talent, support G2 and G3 advisors, and navigate major career and ownership transitions.
Ben Douglas, a partner at Rimon, P.C., will provide perspective on the legal, regulatory, and structural issues that can arise when buying, selling, or transitioning an advisory practice. His work with investment advisers, wealth managers, private funds, and other asset management businesses provides him with a broad view of the considerations involved in ownership changes and firm transactions.
Together, Darci and Ben will help attendees understand how to prepare for succession from both the people and business sides of the equation.
What Attendees Will Learn
After attending this program, participants will be able to:
- Identify key considerations when developing a succession plan for an advisory practice
- Evaluate strategies for recruiting, hiring, developing, and retaining next-generation advisors
- Understand important considerations when buying, selling, or transitioning a financial advisory practice
- Recognize the role of culture and leadership fit in successful succession planning
- Better understand the legal and structural issues involved in ownership transitions
- Prepare earlier and more strategically for long-term firm continuity
Who Should Attend
This program is designed for:
- Financial planners and advisors
- CFP® professionals
- Wealth managers
- RIA owners and firm principals
- Next-generation advisors
- Advisors considering retirement or an eventual exit
- Professionals considering the purchase or sale of an advisory practice
- Firm leaders responsible for recruiting, retention, and succession planning
The content is appropriate for professionals seeking practical guidance on leadership transitions, practice continuity, advisor development, and ownership changes.
Course Complexity: General Overview
CFP Principal Topic: Interpersonal Communication
Continuing Education: CFP® CE Credit Pending Approval
Pricing
FPA Member Early Bird (through November 9, 2026): $49
FPA Member Regular (November 10 through November 11, 2026): $59
Guest / Non-Member Regular: $98
Early registration is encouraged to reserve your seat and take advantage of discounted member pricing.
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About the Speakers
Darci Smith
Founder, Roklyn Consulting
Darci Smith is the founder of Roklyn Consulting, a boutique recruitment and transition firm dedicated to the California wealth management industry.
With a culture-first philosophy, Darci helps firms identify and articulate their unique culture so they can attract and retain high-performing talent. She specializes in working with G2 and G3 advisors who are evaluating career opportunities and looking to align their professional goals with the right firm.
Darci also helps advisors navigate major transitions, including moving from wirehouse environments, joining new firms, and launching independent RIAs. Her work focuses on making sure each move supports long-term career development, firm continuity, and legacy.
Ben Douglas
Partner, Rimon, P.C.
Ben Douglas is a partner at Rimon, P.C. who advises businesses across the asset management industry, including private investment advisers, wealth managers, hedge funds, real estate funds, venture funds, fintech companies, mutual fund managers, and firms with hybrid business models.
His practice includes fund formation, regulatory compliance, service provider relationships, and complex sales and acquisitions of asset management businesses.
Ben’s experience advising financial firms through transactions and structural changes provides valuable insight into the legal and business considerations involved in succession planning and ownership transitions.
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Join fellow financial professionals for a practical discussion on preparing for leadership changes, developing next-generation talent, and creating a thoughtful plan for the future of an advisory practice.
Special Thanks to Our Sponsor
Special thanks to Mike Zunica and First Trust for sponsoring this event and supporting the FPA East Bay community.
Mike Zunica
First Trust
