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RIA consolidation hits new high in first quarter

From InvestmentNews
Added on May 2017 in M&A Issues
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Summary: The registered investment adviser space rolled into 2017 by consolidating at a record clip, according to the latest report from DeVoe & Co. The first quarter report, released Tuesday morning, counts a record 44 deals during the first three months of the year, versus 36 deals in the fourth quarter of 2016, and eclipses a previous high of 39 deals in the first quarter of 2015.

Be a LinkedIn pro with these 9 tips

From InvestmentNews
Added on May 2017 in Manage Your Practice
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Summary: Social media is important, but it shouldn't take up all your time. Today, let's focus on nine tips to make your LinkedIn presence the best it can be.

RIA M&A activity hits all-time high but average AUM of sellers plunges

From Financial Plannning
Added on May 2017 in M&A Issues
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Summary: The sale of smaller RIAs fueled record M&A activity in the first quarter, but also led to a steep decline in average assets under management of the sellers.

New SEC chairman faces pressure to ease regulatory burden

From Financial Planning
Added on May 2017 in Form an RIA
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Summary: The SEC's new chair, Jay Clayton, is set to take the reins at an agency where many senior staffers have departed following the election and a host of regulatory initiatives face an uncertain future.

The 10 most significant FINRA and SEC exam priorities

From Financial Plannning
Added on May 2017 in Manage Your Practice
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Summary: [SLIDESHOW] Advisers need not wait for a warning call from OCIE to prepare their firms for an examination — regulators have already offered a hint about their enforcement priorities.

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