Niche broker sale Opportunity to acquire a small, established California broker-dealer with a long-tenured client base and a specific focus on mutual funds, 401k rollovers, and SEP IRAs, appealing to buyers seeking a low-capital entry and a ready-made retirement assets book.

Asset book value Transaction involves approximately $4.5 million in mutual fund IRA rollover and SEP IRA assets, generating recurring but modest revenue, suggesting potential for buyer to consolidate or cross-sell to existing clients and expand fees with stronger asset growth.

Client retention Around 200 clients with a minimum 12-year relationship indicates high retention and cross-sell potential for advisory, insurance, and fund services, presenting an upsell pathway for enhanced service mix and fee income.

Tech and ops Existing tech stack including AWS, WordPress, Cloudflare, Zendesk and security tooling implies a modern, scalable infrastructure; potential for selling enhanced digital marketing, client portal, and compliance modernization services to fuel growth.

Growth lever Revenue under $1M with a low net capital requirement and a clean CRD, presenting a compelling case for an efficiency-driven buyer to implement cost controls, expand marketing to RIAs, and pursue partnerships to broaden distribution and asset sources.