Knowledge and Insight
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More SEC Compliance Staff May Be Needed to Meet RIA Growth
Added on January 2020 in Form an RIA
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Summary: While the SEC’s Office of Compliance Inspections and Examinations (OCIE) maintained a relatively steady number of RIA examinations between 2018 and 2019, without staff increases it’s possible the office will have difficulty keeping up with a growing number of RIA firms, is in compliance, according to a new SEC report on 2020 exam priorities.
Chicago-area RIAs combine to create $8 billion advisory firm
Added on January 2020 in M&A Issues
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Summary: Two Illinois-based registered investment advisers are combining to create an $8 billion advisory firm that will operate as Savant Capital Management.
Could Retainer-Based Pricing be the New RIA Business Model?
Added on January 2020 in Manage Your Practice
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Summary: In the race to future-proof his advisory business, Frederick Hubler is banking on an alternative approach: retainer-based pricing.
As M&A upends IBD sector, 24 teams and execs make moves
Added on January 2020 in M&A Issues
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Summary: Recent eye-popping M&A deals are reshaping much of wealth management and leading thousands of financial advisors to switch firms. While the record-breaking consolidation affects each company and advisor differently, a look at some of the most recent moves can illuminate the key trends in the rapidly evolving industry.
Comprehensive
Added on January 2020 in M&A Issues
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RIA Match Concierge Consulting Comprehensive
For those who require an extra level of service, RIA Match Concierge Consulting provides expert guidance and a consultative approach to manage your goals every step of the way.
RIA Match Concierge Consulting Comprehensive offers exclusive end-to-end management of your firm’s succession planning or growth goals. Our high touch service is provided by a suite of industry experts and leverages the RIA Match platform. We will navigate you through the entire process and communicate with you regularly.
The RIA Match Concierge Consulting Comprehensive program consists of:
- 1-hour Introductory Interview
- Complete RIA Match profile
- Manage the RIA Match Platform for your firm
- Narrow your matches based on interview intel and platform’s functionality
- Share profiles of interest with the advisor
- Conduct correspondence on the RIA Match platform
- Monitor your account weekly for new matches
- Bi-Weekly RIA Match Concierge Summary Report emailed to client
- Bi-Weekly call with client to discuss results
- Preview ADV and/or FINRA Broker/Check report on match finalist
- Preliminary screening calls with match candidates to validate worthiness
- Candidate searches will be conducted both on and off platform
- Correspond with matches on client’s behalf
- Coordinate and participate in Match calls with client and match
- Coordinate Match Intro Meetings and participate – phone calls are included in the program fee; travel / onsite expenses are optional
- Coordinate negotiation; bring in third party resources as needed
Pricing:
$250/ hour, 4 hour per month minimum Monthly fee* in addition to a 3% success fee.
Resources:
* 3 month commitment required
