1 visitor like this article | Viewed 4961 times | 0 comment
Summary: Many small-business owners know all too well what it is like to take risks, work long hours and juggle multiple priorities. But even many of the most successful of them drag their feet when it comes to succession planning, if they bother to do it at all.
Added on September 2014 in M&A Issues
1 visitor like this article | Viewed 5423 times | 0 comment
Summary: Given the oft-cited graying of the RIA industry, many advisers seek to monetize their businesses and provide continuity for their partners and clients alike. Acquisition negotiations raise numerous difficult issues, but a threshold hurdle is how much a prospective acquirer believes an RIA is worth versus the owner's perception of its market value.
Added on September 2014 in Form an RIA
1 visitor like this article | Viewed 5211 times | 0 comment
Summary: As regulatory reporting demands increase, software providers are coming up with new products to help broker-dealers and advisory firms comply.
Added on September 2014 in Form an RIA
1 visitor like this article | Viewed 5168 times | 0 comment
Summary: When a financial-advice practice becomes a business, the seemingly subtle semantic shift can actually herald a big increase in litigation risk. No longer are advisors simply serving clients on their own or as part of a team. Rather, they own a real asset composed of business processes, staff and investment strategies. But along with this asset’s rewards and autonomy comes the notion of business risk, including the possibility of getting sued. Financial advisors should watch for these three emerging litigation threats.
Added on September 2014 in M&A Issues
1 visitor like this article | Viewed 5083 times | 0 comment
Summary: Mergers and acquisitions involving registered investment advisors (RIA) continued at a brisk pace during the first half of 2014, indicating a healthy RIA space that is ripe for continued growth, according to research released Wednesday by Schwab Advisor Services.
