Results for "succession planning"

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Industry, adviser groups raise concerns about SEC's business continuity proposal

September 8, 2016

Industry and adviser groups agree with the intent of a Securities and Exchange Commission proposal to require more rigor from financial advisers in planning for unexpected disruptions to their business. But in comment letters to the agency,...

Advisers have a fiduciary duty to put robust business continuity plans in place

September 2, 2016

Last year, the North American Securities Administrators Association — the organization representing state securities regulators — adopted a model rule to require state-registered investment advisers to establish business continuity and succession...

Adviser's Consultant: Building diversity at firms makes business sense

August 24, 2016

Marguerita Cheng said for the bulk of her clients, she is the first adviser they've ever seen. About half of the families that Blue Ocean Global Wealth serves are ethnically diverse, and she's most confident that these clients won't be walking...

The succession discussion has to change

August 4, 2016

Succession planning is a dirty word. How can I say this—being that I consult with advisers about succession all the time? Ten years ago, approximately 20% of advisers had a succession plan. Today, despite years of events, articles and software...

The time is now for young financial advisers

May 29, 2016

After graduating from college, Eric Roberge worked at two investment banks and then four different advisory firms within five years, unable to find a company where he felt comfortable. After he decided to start his own firm, he was forced to...

With mergers poised to increase, are you ready for the next step?

April 21, 2016

The financial services industry is on edge right now as advisers scramble to figure out just what the new Department of Labor fiduciary regulations will mean for their businesses. Advisers who are already part of larger ensemble practices are...

Get the most out of your next staff retreat

April 19, 2016

Many financial advisory firms find getting together to talk business away from the office can spark innovative solutions to problems and make colleagues more cohesive. “Being completely away off-site fosters creativity and helps you think...

It's time to make way for next-gen

April 3, 2016

A power shift is under way in our industry. Baby boomer and next-gen advisers are like seismic plates shifting underground, with one group poised to become more powerful as the other slowly fades. This change may not happen without a volcanic...

10 best ways to execute a succession plan

March 21, 2016

Holding on to a firm’s clients during a sale should be a priority for the buyer and especially the seller, since the number of clients who stay can have a direct impact on the amount of money that is paid for the practice, or book of business....

The keys to successful succession planning

March 20, 2016

Adviser Neil Hokanson spent several years considering different succession strategies for his $570 million advisory firm, which he had nurtured for 25 years. He wanted a deal that was reasonable for Hokanson Associates' five shareholders and...

6 features of the best adviser succession plans

March 3, 2016

Whether founders are turning firms over to internal successors or making plans to be bought out down the road, transitions will be more successful if certain elements are crafted into the agreements. Advance thinking and preparation are key...

Nominate your best for InvestmentNews' 40 Under 40

March 1, 2016

InvestmentNews is beginning its search for the best and brightest among the advice industry's up-and-comers. We're counting on you to help us out. If you know a superstar adviser who will be 39 or younger on June 20 — someone who really stands...

Aspiriant takes over second California RIA in 90 days

February 17, 2016

Los Angeles-based RIA Aspiriant is taking over another local registered investment adviser with about $360 million in assets under management, its second deal since it swallowed Deloitte Investment Advisors, part of accounting firm Deloitte,...

Which personality test will best help you hire the right candidate?

February 8, 2016

Before choosing a personality test to give to employee candidates or new hires, make sure the tool will reveal something useful. For advisory firms, three favorites of Beverly Flaxington, principal at adviser coach The Collaborative, are the...

What it's like being an African-American financial adviser

December 14, 2015

It's lonely and really tough work, according to six financial advisers who are working to build the Association of African American Financial Advisors, known as Quad A. They sat down with InvestmentNews editor Fred Gabriel and reporter Liz Skinner...

Smarter tech can mean a better deal

December 13, 2015

Selling a successful wealth management business is one of the hardest things an owner will ever do. Intense negotiations and emotions compound the pressure of determining an optimal valuation for the firm while also keeping the practice running...

Four ways to make a breakaway smoother

December 8, 2015

With Thanksgiving over and the rest of the holiday season creeping up on us, now is the time when advisers begin to finalize their business and strategic plans for the upcoming year. For many on the wirehouse side, that means laying the groundwork...

Adviser's Consultant: A successor's take on a winning transition

November 18, 2015

Eric Hehman knows handing over the reins of a beloved advisory business isn't easy, but he believes founders should keep in mind that it's no cakewalk for the successor either. The chief executive of Austin Asset, a $640 million registered investment...

The costly mistake 80% of advisers make

November 2, 2015

Succession planning is a critical yet woefully neglected business necessity that could cost advisers millions of dollars if not properly handled. Depending on what survey you read, as few as 1 out of 5 financial advisers have a binding and credible...

Have founderitis? Learn to let go

October 27, 2015

The average age of advisers is well into the 50s, leading to an industrywide search for the next generation of advisers who will lead the firms of the future. Finding the right next-gen adviser is just part of the challenge. For those of you...

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