Added on November 2018 in M&A Issues
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Summary: The choppy financial markets might be rattling investors, but for savvy owners of advisory firms the scenario is playing out perfectly because it's driving merger and acquisition activity.
Added on November 2018 in Form an RIA
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Summary: The Certified Financial Planner Board of Standards said Tuesday that it is seeking public comment on proposed changes to its disciplinary process.The proposed Procedural Rules, which will consolidate and replace CFP Board’s existing Disciplinary Rules and Procedures and Appeal Rules and Procedures, are designed “to improve” CFP Board’s enforcement function.
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Summary: With 2018 coming to an end, here are some of the top business concerns that are keeping advisers at Best Practices Award-winning firms up at night. Check out their 2019 priorities to see if your firm should be thinking about these challenges for the new year.
Added on November 2018 in M&A Issues
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Summary: I'm a 63-year-old CFP® adviser with my own independent RIA in the Mpls west metro, seeking an adviser to join my one-person firm for possible succession. I specialize in ESG/SRI and investment/financial/retirement planning for women. You must share those interests. If you want fair treatment and comp, no bs, freedom to do the right thing, and an opportunity to take over my firm, let's talk.
Added on November 2018 in M&A Issues
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Summary: As interest among independent financial advisors in growing through acquisitions continues to grow, one question that has increasingly been asked is, “Can I afford to take out a loan to purchase another independent wealth management practice?”
