Added on March 2016 in M&A Issues
1 visitor like this article | Viewed 4566 times | 0 comment
Summary: Registered investment advisory firms represented 40 percent of the buyers in the 84 M&A deals tracked by Schwab Advisor Services in 2015. That’s up significantly from 2012, when RIAs made up less than 25 percent of buyers, and down slightly from 41 percent in 2014.
Added on March 2016 in Form an RIA
1 visitor like this article | Viewed 4425 times | 0 comment
Summary: Securities and Exchange Commission Chairwoman Mary Jo White told lawmakers Tuesday that if the agency proposes a rule to raise retail investment advice standards, it may not mesh perfectly with a separate Labor Department rule that will soon be finalized.
1 visitor like this article | Viewed 4166 times | 0 comment
Summary: Your company culture grows stronger when you maximize the marketing power of its most valuable resource.Your employees could be your clearest competitive advantage if they become the kind of brand evangelist like the one I met last week on a Lyft ride.
1 visitor like this article | Viewed 3751 times | 0 comment
Summary: The Securities and Exchange Commission delivering on a uniform fiduciary rule for brokers and advisors is likely an “unattainable” goal, as the two divisions charged with writing the rule have “different interests” regarding the rule’s outcome and the agency’s commissioners disagree on whether such a rule is necessary, Bob Plaze, a former SEC executive, said Thursday.
1 visitor like this article | Viewed 4126 times | 0 comment
Summary: Many advisors express some level of unhappiness with their current firm, citing such things as too much bureaucracy, a desire for more control, lack of support and a change in culture.
