Added on September 2014 in M&A Issues
1 visitor like this article | Viewed 3531 times | 0 comment
Summary: Given the oft-cited graying of the RIA industry, many advisers seek to monetize their businesses and provide continuity for their partners and clients alike. Acquisition negotiations raise numerous difficult issues, but a threshold hurdle is how much a prospective acquirer believes an RIA is worth versus the owner's perception of its market value.
Added on September 2014 in Form an RIA
1 visitor like this article | Viewed 3435 times | 0 comment
Summary: As regulatory reporting demands increase, software providers are coming up with new products to help broker-dealers and advisory firms comply.
Added on September 2014 in Form an RIA
1 visitor like this article | Viewed 3448 times | 0 comment
Summary: When a financial-advice practice becomes a business, the seemingly subtle semantic shift can actually herald a big increase in litigation risk. No longer are advisors simply serving clients on their own or as part of a team. Rather, they own a real asset composed of business processes, staff and investment strategies. But along with this asset’s rewards and autonomy comes the notion of business risk, including the possibility of getting sued. Financial advisors should watch for these three emerging litigation threats.
0 visitor like this article | Viewed 3433 times | 0 comment
Summary: So yes, financial advisors can subliminally program clients to prospect for them. The seeds you’re planting will take the form of well-timed words planted in the mind of a client. Let’s take a look at how these seeds (carefully crafted words) can be planted.
Added on September 2014 in Form an RIA
0 visitor like this article | Viewed 3306 times | 0 comment
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.