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Getting the Most for Your Firm

Added on May 2014 in M&A Issues
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Summary: Almost every advisor must come up with a valuation for their firm at some time or another—whether it’s to sell or merge with another firm. And for some, it’s more of an art than a science. How do you put a price on your firm? The five most important factors that go into a valuation include financial management, growth, scale, business model, and clients, said Dan Seivert, CEO of ECHELON Partners, during a Laserfiche workshop in New York.

What Would Michael Lewis Do? Let's Ask Him

Added on May 2014 in Thought Leadership
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Summary: The language of finance is complicated, and sometimes intentionally so. From the “turgid dialect” of Fedspeak to the intentionally tortured and complicated mouse print disclaimers on investment prospectuses, the industry embraces verbosity. So when a New York Times best-selling author appears on 60 Minutes to declare that the stock market is “rigged,” it stands in stark contrast to the usual hedging, sidestepping and equivocating.

How Independent Advisors Can Beat Wall Street

Added on May 2014 in Thought Leadership
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Summary: We now are facing the threat of a compromised fiduciary standard that will allow brokerage firms to conduct business as usual. We have seen the SEC issue reports that openly talk about accommodating the brokerage industry’s business model.

Passing the baton, step by step

Added on May 2014 in Plan for the Future
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Summary: Of the more than 30,000 independent investment advisors in the country, fewer than a quarter have a succession plan in place, according to numerous studies, and most solo practitioners haven't even identified a potential successor.

RIAs: When and Why to Make Form ADV Updates

Added on May 2014 in Form an RIA
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Summary: By this point, all advisors with a Dec. 31 fiscal year-end should have filed their annual updating amendment to Forms ADV Part 1 and 2 with the Securities and Exchange Commission through the Investment Adviser Registration Depository. If any material changes occurred since the last annual updating amendment, advisors should have also delivered to clients at least a summary of such material changes by this point as well. 

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