From InvestmentNews
Added on September 2014 in Form an RIA
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Summary: Investment advisory firms would pay anywhere from a couple thousand to millions of dollars annually in user fees to fund Securities and Exchange Commission exams, if the agency uses that approach to increase its adviser oversight, according to a new study released Wednesday.
From Reuters
Added on September 2014 in M&A Issues
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Summary: When Chicago-based broker Nick Brait, 62, wrote his five-year plan in 2012, he decided that by 2017, he wanted to spend almost half of every year traveling the world and sailing the U.S. Great Lakes. The best way to accomplish that, he figured, was to sell his financial practice, Lasting Legacy Ltd., and gradually move to a scaled-back schedule.
From CNBC
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Summary: Niche practices are coming to the financial advising industry. A few of them are already here and taking off. Whether specializing in financial transitions, financial gerontology or Generation X or Y, more and more advisors are targeting their practices to certain demographic groups or specific service circumstances or philosophies.
From InvestmentNews
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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.
From InvestmentNews
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.
