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Summary: Regulatory pressure has been building from the Labor Department's new fiduciary rule, audits being conducted by the Securities and Exchange Commission and a crackdown on anti-money laundering programs. While firms are doing deals to gain scale and add services, RIAs with less than $150 million of assets are particularly vulnerable to a squeeze on profit margins.
 “I can't see how these firms will be able to afford to keep up with the pace of change in technology and services. bA downturn in the market may compel smaller firms to seek safety in the financial structure of a larger firm.”Loren Pierson, president, Mercer Advisors, |
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