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Summary: When investment advisers who are sole proprietors die unexpectedly without a continuity plan in place, the firms where they house client assets react rapidly.
Added on August 2015 in Form an RIA
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Summary: As larger teams move into the registered investment adviser channel, the major custodians are getting more creative and adding some sweeteners to entice big breakaway outfits.
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Summary: Fraudulent emails from hackers used to be obvious, full of misspellings and bad grammar. Now cyber crooks are even sounding like their victims as they try to trick financial advisers into wiring money from clients' accounts.
Added on August 2015 in M&A Issues
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Summary: In the latest deal between billion-dollar-plus registered investment advisers, Bronfman E.L. Rothschild said Tuesday it had acquired Highline Wealth Management, creating a combined $3.6 billion firm.
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Summary: You have a new colleague who’s smart, driven and maybe reminds you a bit of yourself when you were new. This person has expressed an admiration toward you and asks you to be his/her mentor – should you say yes?
