From InvestmentNews
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Summary: Financial advisers and wealth planning firms are always looking for new technology to improve their businesses. When I started working in fintech 20 years ago, the technology available to independent financial advisers was limited.
From RIA Match
Added on August 2019 in M&A Issues
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Summary: We have grown steadily through organic growth, but are looking to accelerate our growth by adding additional advisors, purchasing a book of business or expansion into existing or new markets through acquisition of entire firms. Our firm has a very service and value added focus and we use individual stocks and bonds to work with each client to meet their specific needs. Always a fiduciary.
From InvestmentNews
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Summary: A tired bull market and the demographic age wave are converging on the advice industry. The implications demand much of leaders whose skills may be rusty — or outdated.
From Financial Planning
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Summary: Advisors may think they are well versed in cybersecurity. After all, the SEC has publicly detailed its key cybersecurity focus areas, like risk assessment, data loss prevention, vendor management and incident response. But do financial planners know how examiners evaluate firms to determine whether they pass the test? Probably not.
From InvestmentNews
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Summary: Sometimes a verbal agreement is all you need to get a succession plan rolling.That was the case in August 2008, when John Middleton walked away from a job as an institutional portfolio manager at Invesco to become a financial adviser at a $41 million RIA whose owner, Jim Chesterton, was 67 years old.
