From Think Advisor
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Summary: Both broker-dealer reps and RIAs believe the Department of Labor’s pending fiduciary rule will have a negative impact on their businesses, according to a survey by Fidelity Institutional.
From InvestmentNews
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Summary: Adviser Neil Hokanson spent several years considering different succession strategies for his $570 million advisory firm, which he had nurtured for 25 years. He wanted a deal that was reasonable for Hokanson Associates' five shareholders and offered his 12 employees career opportunities. But his 270 clients were really at the top of his mind.
From Think Advisor
Added on March 2016 in Join an RIA
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Summary: The ranks of breakaway brokers moving to the registered investment advisor channel may very well increase over the next year or so, according to Scott Collins, director of broker independence at TD Ameritrade Institutional.
From FPA
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Summary: Every March I host the Independent Advisor’s Implement Now Practice Management Virtual Summit. I interview about two dozen industry thought leaders to crystalize the key how-to advice they have to offer to propel advisers to their next level of success. This year’s content reveals four practice management themes that entrepreneurial advisers must pay attention to if they want to achieve their full potential.
From Financial Advisor IQ
Added on March 2016 in M&A Issues
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Summary: The robust pace of mergers and acquisitions in the advisor space is causing many advisors to look for more stable broker-dealers, eFinancialCareers writes. And advisors looking to move to smaller firms this year may want to think twice, according to the publication
