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Summary: Cybersecurity is a serious game and independent registered investment advisors are up against some of the best criminals out there, simply because of the nature of this business. Since the stakes are so high, the SEC is intent on penalizing firms that lack a locked-down offense and defense.
Added on January 2019 in M&A Issues
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Summary: Despite the zig-zag motions of the stock market toward the end of 2018, RIAs are upbeat for 2019, according to a recent TD Ameritrade Institutional 2019 Sentiment survey. One sign of positivity is the record number of mergers and acquisitions executed in 2018, according to DeVoe & Co. Both reports found optimism in the RIA community, yet with some caution.
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Summary: Attracting and retaining top talent in the financial advice industry are of critical importance — employees are, after all, the lifeblood of a successful advisory firm.
Added on January 2019 in M&A Issues
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Summary: We started in 1985, and an Independent RIA in 2004. We work with a limited BD. Advisors or firms that join us can choose to join our RIA only, or to affiliate with the BD as well. 90% of our business is fee based. We have 16 locations throughout the US, and have 100 advisors. Our firm manages over 11B of Assets. If you are interested in a move, succession plan, or purchase, please reach out.
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Summary: I first met John Bogle about 16 years ago after I wrote him a letter thanking him for his work and telling him how much I’d like to meet him. A week later, I received a handwritten card telling me that he was going to be in my area in the next month and would be “pleased to set up a meeting.”
