From Financial Planning
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Summary: Rarely does life or business play out as intended. Many advisors avoid planning for succession until upheaval occurs. Those who do plan in advance are often blindsided when their next generation bolts for greener pastures. Because we cannot predict the future, my approach to succession planning is very Buddhist — plan for what you want and don’t be attached to the outcome. How does this work?
From ThinkAdvisor
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Summary: The advisory business is moving quickly these days with mergers and acquisitions, new technology and growth of assets under management. In a new white paper, Morningstar and Mercer outlined five 2020 trends wealth management firms and family offices can’t miss to make sure they differentiate themselves from the competition.
From wealthmangement.com
Added on January 2020 in Form an RIA
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Summary: While the SEC’s Office of Compliance Inspections and Examinations (OCIE) maintained a relatively steady number of RIA examinations between 2018 and 2019, without staff increases it’s possible the office will have difficulty keeping up with a growing number of RIA firms, is in compliance, according to a new SEC report on 2020 exam priorities.
From InvestmentNews
Added on January 2020 in M&A Issues
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Summary: Two Illinois-based registered investment advisers are combining to create an $8 billion advisory firm that will operate as Savant Capital Management.
From wealthmangement.com
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Summary: In the race to future-proof his advisory business, Frederick Hubler is banking on an alternative approach: retainer-based pricing.
