Results for "mergers & acquisitions"

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D.A. Davidson, Crowell seal deal

August 6, 2013

Full-service brokerage and money management firm Crowell Weedon & Co. has completed its merger with D.A. Davidson & Co., the companies announced today. When the combination is operationally finished, which is expected within the next six months,...

Carson acquires $218M AUM hybrid

July 24, 2013

Carson Wealth Management said today it had acquired a hybrid advisory firm with $218 million assets under management, and plans to complete up to eight such deals by the end of the year. The firm it acquired, Caton Financial Inc., a San Rafael,...

Securities America, NorthStar Financial unveil RIA

July 19, 2013

Securities America Inc. and NorthStar Financial Services Group LLC have officially rolled out a jointly owned RIA firm designed for use by midsize hybrid advisers. The new RIA firm, Arbor Point Advisors LLC, will serve as a corporate RIA for...

Buckingham buys Dallas RIA with help from Focus Financial

July 2, 2013

St. Louis-based Buckingham Asset Management has agreed to buy JWA Financial Group, a Dallas-based registered investment management firm that oversees just under $400 million in assets, for an undisclosed sum. The deal gives Buckingham a fourth...

United Capital acquisition breaks up Atlanta RIA

July 1, 2013

United Capital Financial Advisers LLC is acquiring PPA Investments Inc. and signing on four advisers from the Roswell, Ga.-based registered investment adviser. Four other advisers are not joining United, said Ross Ramsey, managing member of...

National Holdings to buy tax preparer, pushing client assets to $9B

June 21, 2013

National Holdings Corp. said today it will acquire tax preparer Gilman Ciocia Inc., which includes 160 independent financial reps and advisers. The main business of National Holdings is its independent broker-dealer, National Securities Corp.,...

Fidelity unit in pact to open cash spigot for RIAs

June 14, 2013

Fidelity Institutional Wealth Services has opened a relationship with Live Oak Bank that the custodian hopes will solve a chronic problem for its RIA clients: financing acquisitions and successions. Live Oak Banking Co., which launched a specialized...

Banyan adds Silver Bridge, more than doubling client assets

June 4, 2013

Banyan Partners LLC has agreed to acquire Silver Bridge Advisors LLC, a wealth management firm majority owned by the law firm Wilmer Cutler Pickering Hale & Dorr LLP that has $2.2 billion in client assets. The deal, which marks the fifth acquisition...

RIAs bringing in new money, study finds

May 5, 2013

Registered investment advisers will continue to increase their market share of managed assets in the United States, according to Cerulli Associates Inc. The consulting and research firm released its State of the RIA Marketplace 2012 study last...

RIA mergers: Numbers down but dollars up in first quarter

May 2, 2013

Mergers-and-acquisitions activity involving registered investment advisory firms with more than $50 million in assets under management increased last quarter, but the size of the deals fell dramatically, according to the quarterly report produced...

RIAs seek to grow by gobbling up others

April 14, 2013

RIAs buying other RIAs will be a common theme over the next several years as firms look to grow via acquisition. The trick will be finding sellers who are not asking too much. One of the biggest shifts in the deal environment for registered...

All in the family as RIAs step up to buy other RIAs

April 9, 2013

RIAs buying other RIAs will be a common theme over the next several years as firms look to grow via acquisition. The trick will be finding sellers who are not asking too much. One of the biggest shifts in the deal environment for registered...

RIA deal activity subdued in 2012 amid uncertain economy, shaky markets

April 8, 2013

Mergers and acquisitions involving RIA firms remained subdued last year as buyers and sellers held off in the face of an uncertain economy and fragile markets, according to Pershing Advisor Solutions LLC. In 2012, 35 transactions involving RIAs...

Cetera acquiring two B-Ds from MetLife

April 7, 2013

Cetera Financial Group is continuing its aggressive expansion, announcing last Friday that it had agreed to acquire two independent broker-dealers from MetLife Inc. for an undisclosed sum. The two MetLife broker-dealers, Tower Square Securities...

REIT spurns rival's offer, pursues its own agenda

March 24, 2013

In a move likely to confuse and perhaps anger some financial advisers, Cole Credit Property Trust III, a nontraded real estate trust, rejected an unsolicited offer to be acquired by a rival REIT and instead reiterated its plan to acquire its...

Two MetLife B-Ds on Cetera's radar

March 3, 2013

Cetera Financial Group is pursuing an acquisition of one or more broker-dealers, and industry sources say that two firms owned by insurance giant MetLife Inc. are logical targets. MetLife owns four independent broker-dealers: MetLife Securities...

RIA acquisitions down in 2012

February 3, 2013

Mergers-and-acquisitions activity by RIA firms last year was significantly less than some in the industry expected. Schwab Advisor Services' annual M&A survey, released last week, showed that while the average size of RIA deals increased substantially...

National firms driving RIA deals

January 28, 2013

National firms participated in more than half of mergers and acquisitions in the registered investment advisory industry last year, according to data compiled by Schwab Advisor Services, which also found that while the number of deals in 2012...

How much is that advisory firm in the window?

January 28, 2013

Advisory firm owners have unrealistic expectations about what their firms are worth. Sales of RIA firms usually are done based on a multiple of cash flow, but owners and founders often overestimate their free cash by forgetting to factor in...

Time may be running out on Legg name

January 20, 2013

Time may be running out for Legg Mason, at least as a mutual fund brand name. Legg Mason Capital Management — a household name in the 1990s, thanks to star manager Bill Miller's 15-year streak of beating the S&P 500 — is merging into Legg...

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