Results for "mergers & acquisitions"

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Mercer acquires Jackson Financial and $510 million in assets

June 19, 2019

Mercer Global Advisors has acquired Jackson Financial Management, a Costa Mesa, Calif.-based RIA managing approximately $510 million in assets. (More: Consider diversity when it comes to mergers and acquisitions) The JFM acquisition brings Mercer's...

RIA takes a bigger piece of the pro athlete market

June 17, 2019

MAI Capital Management, a $6 billion Cleveland-based RIA, has expanded into its sixth market with the acquisition of MTX Wealth Management, a $400 million advisory firm in the Washington area. The firms share a specialty — working with current...

Goldman CFO eyes wealth management acquisitions in Europe

June 6, 2019

Goldman Sachs Group may seek to manage more of the fortunes of Europe's wealthy as the Wall Street brokerage looks to expand beyond the volatile returns of equity and bond trading. The company currently only has a "single-digit" share of the...

Lessons learned from 21 deals

June 3, 2019

While I didn't start out as a deal-maker in wealth management, I have found it to be a dynamic, fast-paced, exciting and fulfilling role in my nearly 20-year career as an executive at Mercer Advisors, currently a $15 billion independent registered...

Dakota Wealth Management to acquire Springside Partners

May 21, 2019

Dakota Wealth Management, a Palm Beach Gardens, Fla.-based RIA managing $1 billion in assets, has agreed to acquire Springside Partners, a female-founded and operated registered investment adviser in Akron, Ohio, managing about $258 million...

Advisory firms' value is tied to the market's value

April 30, 2019

If you're an adviser, hopefully you don't recommend that your clients use leverage to juice returns. (Especially not your older clients.) Yet many principals of advisory firms are themselves highly leveraged, and most do nothing about reducing...

Dynasty Financial boosts M&A tools for RIAs using its platform

May 30, 2019

Dynasty Financial Partners said Thursday that it is amplifying its support for registered investment advisers who use Dynasty's platform so they can better compete in the hot RIA mergers and acquisitions market. The new business line and suite...

FWM to acquire Optima Fund Management

April 25, 2019

FWM Holdings, the New York-based parent company of multifamily offices Forbes Family Trust and LGL Partners, will acquire Optima Fund Management, a New York-based private investment firm specializing in alternative investments. (More:​ Bronfman...

LPL expanding platform to include employee brokers

May 22, 2019

LPL Financial, which has grown into one of the largest brokerage firms in the country by hiring advisers who act as independent contractors, is creating a new model which would employ brokers working directly for the firm. In a presentation...

Selling your firm, even if you've never thought about it

May 29, 2019

Even if you've never thought about selling your financial planning firm or practice before, now's the time to familiarize yourself with the landscape. Just look at what's going on in our industry: Goldman Sachs is buying United Capital. Ric...

Bob Oros opens up about HighTower's aggressive growth strategy

May 29, 2019

After Goldman Sachs' agreement this month to purchase United Capital for $750 million, "good vibrations" are spreading across the registered investment adviser industry. And why not? Since summer is almost here, it would be appropriate to cite...

HighTower invests in $4.8 billion California advice firm

April 29, 2019

Chicago-based HighTower announced an investment Monday in LourdMurray, a Beverly Hills, Calif.-based advisory firm that manages $4.8 billion as a result of its own recent merger with San Diego, Calif-based Delphi Private Advisors. The merger...

Mariner to acquire $1.3 billion RIA in Florida

April 18, 2019

Mariner Wealth Advisors of Overland Park, Kan., will acquire Singer Xenos Schechter Sosler, a wealth advisory firm based in Coral Gables, Fla. The firm's four named partners and its 16 associates will remain with Mariner, the firm said in a...

Advisor Group executives to hit the road this summer

June 5, 2019

Now that the sale of Advisor Group is in the bag, the management of the broker-dealer network will hit the road this summer, visiting to financial advisers in 20 cities to provide an update from CEO Jamie Price. Last month, Advisor Group said...

F.L. Putnam acquires Financial Focus and $275 million in AUM

April 3, 2019

F.L. Putnam Investment Management has acquired Financial Focus, a financial planning and wealth management firm in Wolfeboro, N.H., that manages $275 million in assets. The entire Financial Focus team will join F.L. Putnam, the company said...

Former broker wins $600,000 arb award for claims related to sale of business

May 8, 2019

A former broker won a $600,000 arbitration award for claims that another broker reneged on a deal to sell his book of business. According to a Financial Industry Regulatory Authority Inc. filing, former Ameriprise Financial Services broker Peter...

United Capital adds $800 million in AUM through two acquisitions

April 2, 2019

Irongate International, a registered investment adviser in Moline, Ill., managing $455 million, and Peachtree Investment Advisors, an RIA in Atlanta, Ga., managing $345 million in assets, have been acquired by United Capital Financial Advisers....

Captrust acquires two firms and $2.9 billion in AUM

March 19, 2019

Captrust Financial Advisors, a Raleigh, N.C.-based wealth management and retirement plan advisory firm, has acquired Watermark Asset Management of San Ramon, Calif., and Rogers Financial of Harrisonburg, Va. Watermark, a registered investment...

Janney acquires FIG Partners of Atlanta

March 19, 2019

Janney Montgomery Scott is acquiring FIG Partners, an Atlanta-based investment banking and research firm that specializes in community banks. The transaction is expected to close in the second quarter. (More:​ Team advising on $2 billion leaves...

Sometimes a sale is the best succession plan

May 28, 2019

When Kara Duckworth and her father Michael Duckworth began looking for ways to transition ownership of the advisory firm they launched in 1998, selling the business was not what they had in mind. "We were originally going to do an internal succession...

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