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Summary: The investment advisory business is constantly evolving. Among the many moving parts of this dynamic industry, technology continues to alter the way advisory firms interact with and manage their client relationships. Accordingly, the services and the tools necessary for firms to conduct and grow their businesses must change as well.
Added on September 2014 in M&A Issues
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Summary: Does succession planning impose fiduciary obligations for investment advisers? This recently has become a hot topic of conversation, due in large part to the high volume of mergers and acquisitions in the adviser space.
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Summary: The RIA business was a lonely place when Brent Brodeski joined Savant Capital Management in 1992. He and founder Thomas Muldowney had no forum for talking with other registered investment advisers about how best to manage customer relationships or the back office, what to pay staff and other mysteries of running an advisory practice. After three years, Mr. Brodeski set out to address this glaring lack of support. He helped launch Zero Alpha Group, an alliance of independent advisers who share business knowledge and best practices.
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Summary: A year ago, financial advisers were cheering the launch of government health insurance exchanges, but today they're grappling with costly group insurance policies for their small business clients, who have been hurt by delays in the implementation of Obamacare.
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Summary: Advisor Doug Vandyke got into the advice business with his eyes wide open. His bosses at the wirehouses where he started his career warned him up front that 15-hour days wouldn’t be uncommon, and they were bang-on. So he didn’t balk at staying late and working weekends.
