Results for "succession planning"

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Focus Financial invests in $600 million wealth manager

April 6, 2015

Focus Financial Partners, the deep-pocketed investor in financial-advisory businesses, said Monday it has taken a stake in a 45-year-old firm managing $600 million in assets. Under Focus' umbrella, the Savannah, Ga.-based Fiduciary Group plans...

Get clients on board with a merger or acquisition

April 1, 2015

Advisers thinking about combining two firms should have a plan for how the new entity will be branded and rolled out to existing clients and prospects. Those considerations include what the firm will be called post-merger and which marketing...

Prices for adviser practices aren't as high as most expect, but some factors can boost value

March 15, 2015

Even though the number of prospective buyers greatly exceeds the number of financial advisory firms on the market, owners often have unrealistic ideas about what their businesses are worth. About 28% of advisers sought to buy a firm in the past...

Don't get blindsided by a catastrophe

March 15, 2015

As a financial adviser, you assist clients in planning for their future. But have you planned for the future of your own practice? What happens to your business if tomorrow you are permanently disabled or die? Where do your accounts go? Will...

Help is on the way

March 15, 2015

Change is hard. No one likes it. So it is no surprise that so many advisers avoid the subject of succession planning. Both a Cerulli Associates study and polling by the Financial Services Institute found that almost 60% of advisers have not...

The big succession planning questions RIAs need to answer immediately

March 13, 2015

As the saying goes, just when I knew all the answers, they changed all the questions. This is the situation facing the wealth management industry today. Fifteen years ago, all major firms were focused on an aging client population and developing...

External IT's Attias: Align your technology with your succession plan

March 12, 2015

An effective succession requires that financial advisers take a step back from their practices. Using the right technology well before a transition can give them a head start, according to Sam Attias, vice president of External IT.

Time for RIAs to set transition plans as SEC steps up focus

March 6, 2015

Mary Jo White, chairwoman of the Securities and Exchange Commission, recently discussed potential regulatory reforms that would lay the foundation for regulating the risks arising from portfolio composition and operations of investment advisers...

Getting decked out in camo to help tell a succession planning story

February 23, 2015

Its 8:30 on a Monday morning. I'm decked in head-to-toe camouflage, hiding behind a tree on a rocky bluff in Montana. And I'm fairly certain I'm about to get shot. No, this isn't the beginning of a Brian Williams joke, it's just the middle of...

Fidelity's acquisition of eMoney Advisor could be a watershed moment for the advice industry

February 9, 2015

I have written at length about the changing landscape created by robo-advisers and mega direct-to-consumer brands like the fund companies, banks and custodians. And while I don't have a crystal ball, I think the acquisition of eMoney by Fidelity...

Don't let your business go down in flames like Kodak

February 5, 2015

“You either disrupt your own company or someone else will.” With that quote, Peter Diamandis, an international pioneer in the fields of innovation, incentive competitions, and commercial space, set the crowd abuzz at the TD Ameritrade National...

5 surprising challenges of teaming up

January 26, 2015

When advisers join forces they’re able to capitalize on economies of scale, but forming teams and operating them successfully can be a challenge, according to the first quarter 2015 adviser edition of the Cerulli Edge. Here are a few things...

Recent Supreme Court case offers lessons for managing inherited IRAs

January 9, 2015

Assets held in IRA accounts totaled more than $7 trillion at the end of the second quarter of 2014, according to the latest available data. Based on our rapidly aging population and other factors, it's reasonable to assume significant and increasing...

Optimism abounds for financial advice industry in 2015

January 5, 2015

This year looks to be rosy for advisory firms — if you believe both the pundits and advisers themselves. "I am bullishly optimistic on the wealth management business," said adviser JJ Burns, founder of JJ Burns & Co. in Melville, New York....

Put your plan in place today

December 21, 2014

"Why do today what you can put off until tomorrow?” — an inversion of Ben Franklin's virtuous commandment — is apt for continuity and succession planning. But it won't hold water as an excuse when regulators come knocking. For years, the...

RIAs to control 28% of assets by 2018: Cerulli

December 15, 2014

Registered investment advisers are not likely to see a slowdown in growth as they continue to climb the ladder in assets under management. Thanks in large part to growth of dually registered advisers, who are also affiliated with a broker-dealer,...

Young advisers go from learning to doing

December 14, 2014

Halfway through their first year in the advice business, the six young professionals InvestmentNews is tracking for its Year 1 project — to better understand adviser experiences as they enter the industry — have gained confidence and skills....

The contingency plan: Your succession plan's safety net

December 12, 2014

If you can count yourself among the minority of advisers — about 40% — who are within five years of retirement age and have created a succession plan, you're all good, right? Maybe. In working with advisers over the years, I've found that...

SEC works on rule requiring practice transition plans

December 11, 2014

Financial advisers could be forced by federal and state regulators to create transition plans in the event they die or become incapacitated. Last Thursday, Securities and Exchange Commission Chairman Mary Jo White said the agency is focusing...

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