Added on March 2015 in M&A Issues
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Summary: Even though the number of prospective buyers greatly exceeds the number of financial advisory firms on the market, owners often have unrealistic ideas about what their businesses are worth.
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Summary: It's no secret that the independent adviser has risen from being a cottage industry on the margins of professional finance to reframing a debate about how financial advice should be provided.
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Summary: There are 3 things a rider does when he jumps a fence: look up, heels down and release. Many advisors should be thinking about their next jump whether it’s an internal succession or a sale to an outside firm. The exit struggle exists because advisors can’t picture what’s beyond the jump that is succession.
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Summary: Charles Schwab became the first custodian to release it’s own automated asset allocation platform for retail investors on Monday. The launch of Intelligent Portfolios ignited a debate over Schwab’s “no fees” claim and the impact the so-called “robo-advisor” would have on the financial technology sector as a whole.
Added on March 2015 in Form an RIA
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Summary: The Securities and Exchange Commission is not fulfilling its duty to protect retail investors, particularly in how it regulates financial advisers, a number of consumer groups asserted in a letter to the agency.
