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Financial Planning June 1, 2009 Donna Mitchell |
M & A: Who's Buying? Forget the dearth of capital afflicting the rest of the financial industry: RIA firms have access to plenty of money for mergers and acquisitions.  |
Registered Rep. August 18, 2011 Jerry Gleeson |
Market Turmoil Could Slow Advisor M&A Two industry experts expect merger and acquisition activity involving registered investment advisors will drop this year if the current volatility in the stock market stretches into the coming months.  |
Registered Rep. February 19, 2009 Halah Touryalai |
Where the Sellers At? RIAs are Holding Out for Better Deals Schwab executives predicted a decline mergers & acquisitions between RIAs in 2009, as potential sellers hold out for a stronger market and a better deal.  |
Registered Rep. April 6, 2010 Kristen French |
Custodians In Race To Roll Out M&A Tools TD Ameritrade Institutional is rolling out a new online business valuation tool.  |
Investment Advisor June 2007 Mark Tibergien |
Real Deals There's more activity than actual movement on the M&A front for financial advisory firms.  |
Registered Rep. June 29, 2011 Jerry Gleeson |
Tibergien: Selling Your Practice? Offer a Growth Story Too many advisors see successful practice planning as a career endgame that allows them to sell and move on. That's the wrong way to look at it, says Mark Tibergien.  |
Registered Rep. April 15, 2010 Halah Touryalai |
RIA M&A Deals Break Record in First Quarter Mergers and acquisitions seem to be crawling back to the top of RIA principals' to-do lists this year, as the first quarter's numbers show record activity. What is your practice worth?  |
Investment Advisor January 2007 Kathleen M. McBride |
When Selling Your Practice . . . Advisors are smart about many financial matters, but when it comes to selling their own firm, many are surprised about how much more there is to know.  |
Registered Rep. July 8, 2015 Jerry Gleeson |
No Slowing RIA Growth In the financial advisory industry there are potential regulatory burdens, fickle investors, and crafty competitors -- but nothing has changed the relentless march of the registered investment advisor space since the 2008 crash.  |
Registered Rep. November 5, 2012 Jerry Gleeson |
Waning M&A for RIAs Blame it on fiscal cliff nervousness, volatile stock markets, or the uncertainties that accompany a tepid economic recovery, but the world of mergers and acquisitions in the registered investment advisor channel is having a lackluster 2012.  |
Financial Planning May 1, 2010 Donna Mitchell |
Advisory Pulse Registered investment advisory firms, especially small ones, are returning to the bargaining table this year; in the first quarter, RIA firms completed 24 merger and acquisition deals.  |
Registered Rep. February 26, 2013 Megan Leonhardt |
Let's Make A Deal The RIA M&A market is poised for growth, but not gaudy growth.  |
Investment Advisor July 2006 |
Upgrades Pershing LLC announced healthy growth in the number of RIAs custodying client assets and trust accounts through its Pershing Advisor Solutions unit... Charles Schwab & Co. announced June 14 a broad reduction and simplification of pricing for its retail... etc.  |
Registered Rep. October 15, 2010 Jerry Gleeson |
Fewer, But Bigger Breakaway Brokers Joining RIAs With markets stabilizing and bank-brokerage merger integrations progressing, fewer brokers are fleeing the big Wall Street wirehouse firms for the RIAs and independent b/ds in 2010.  |
Registered Rep. July 29, 2010 Halah Touryalai |
RIAs Keep Up M&A Momentum RIAs continue to buy and sell their businesses this year as M&A deals in the industry reach record levels.  |
Registered Rep. July 5, 2011 Jerry Gleeson |
Schwab Finds RIAs Posted Record 2010 Revenue, AUM Average profits surged 45 percent last year among registered investment advisors surveyed, but don't look for a repeat of this year.  |
Investment Advisor July 2008 James J. Green |
Catching up with... Mark Tibergien The CEO of Pershing Advisor Solutions discusses why it's a good time to be a seller of an RIA firm, according to the latest research on mergers and acquisitions activity in the advisory market.  |
Financial Advisor January 2012 Eric Rasmussen |
Advisors In A Darwinian World In a more competitive landscape with strained markets, advisors are relearning how to survive.  |
Registered Rep. November 26, 2010 Charles Paikert |
RIA M&A Deals On Track To Top 2009 Total The number of mergers and acquisitions completed in the registered investment advisor business through the third quarter of this year is near full-year totals for 2009, according to data from Schwab Advisor Services.  |
Investment Advisor November 2009 James J. Green |
Numerology: Fewer Assets, More Advisors Total assets managed by investment advisors shrank in 2008 but the number of SEC-registered investment advisors increased.  |
Registered Rep. September 2, 2015 Megan Leonhardt |
Volatility Not Enough to Slow RIA M&A Deals The first half of 2015 saw a significant increase in merger and acquisition activity among registered investment advisory firms.  |
Registered Rep. October 15, 2009 Christina Mucciolo |
Schwab Q3 Earning Down, But the Race For RIA Assets Is Hot Charles Schwab reported a 34 percent drop in its third quarter earnings, the firm's third consecutive quarter of slowing earnings this year.  |
Financial Advisor August 2007 Jeff Schlegel |
Private-Equity Payout The private-equity tsunami that's sweeping the investing world isn't exactly inundating the financial advisory industry, but it is making waves.  |
Registered Rep. April 5, 2012 Jerry Gleeson |
Who will Aggregate the Aggregators? New RIA Consortium Advizent Thinks Big Two executives with deep roots in the registered investment advisor industry are looking to aggregate a broad swath of RIAs in the latest effort to squeeze better deals out of custodians and fund managers.  |
Investment Advisor December 2009 Mark Tibergien |
Formulas for Success: Prudent Man Rule for Practice Purchases Capital constraints, economic uncertainty, and increased levels of caution characterize the current marketplace in advisory firm M&A.  |
Investment Advisor June 2007 Bob Clark |
The Art of the Deal Advisors who don't understand where those astronomical practice values are coming from are doomed to get what they deserve.  |
Financial Planning December 1, 2008 Brooke Southall |
RIA Power Registered investment advisory firms are bringing in more assets these days than are wirehouse brokerage firms.  |
Registered Rep. January 1, 2007 Halah Touryalai |
A Match Made in Equity For financial-advisory practices, holding companies are making a come back after a flawed model forced them out of the market in the late 1990s. Now, new players have emerged and this time they're relying on private equity firms to help keep them in the game.  |
Financial Advisor January 2008 Bruce W. Fraser |
Growing Up Over the next five years, the typical RIA will undergo rapid transformation, and the average RIA firm is expected to at least triple in size. To accommodate such growth, hiring decisions will become critical, stretching far beyond the traditional tendency of firms to simply add more advisors.  |
Registered Rep. February 25, 2013 Furey & Cooper |
What Is Your Advisory Practice Really Worth? The perils of the valuation gap.  |
Investment Advisor November 2009 James J. Green |
B/D Briefing: Citi Brokers Switch to Fees Citi Personal Wealth Management announces that the brokers who operate in Citibank branches will change their compensation models immediately from commissions to fees.  |
Registered Rep. July 7, 2010 David A. Geracioti |
Compensation 2010. Crisis? What Crisis? 2009 income for RIAs -- while lower than 2008, in some cases by a lot -- rebounded fairly nicely, bringing earnings back to 2007 levels.  |
Financial Advisor May 2007 Eric Rasmussen |
What's New At The Custodian Custodians are continuing to offer new services for fee-only planners in their efforts to woo RIAs.  |
Financial Planning September 1, 2009 Marion Asnes |
Flying High Thoughts by Jim McCool, executive vice president and head of institutional services at Schwab, talks about back office focus, trust, and service.  |
Financial Advisor November 2009 |
Frontline News Advisor News: Poll on advisor pay... Citi Embracing Fee-Only Model... RIAs Set Record For Repurchasing Their Firms... FINRA Expands Arbitration Pilot Program... SEC Expects To Examine 9% Of RIAs Annually... more...  |
Financial Planning September 1, 2011 Donna Mitchell |
Happy Mediums Online brokerage giants are taking market share from almost every segment of the financial advisory business - except for RIAs.  |
Financial Advisor November 2008 |
Frontline News News for the Financial Industry: Tumult Could Expand Ranks Of RIAs... M&A Activity Remains Healthy... Independent B-Ds: Don't Tread On Us... Who Has The Most Satisfied Advisors?... The Business Of Serving Business Owners... etc.  |
Investment Advisor August 2009 James J. Green |
Schwab Cuts Costs for Its Advisors Charles Schwab Advisor Services announced a series of moves that will have the net effect of reducing costs to the RIAs that custody with Schwab.  |
Registered Rep. October 30, 2007 Halah Touryalai |
Impact This! Schwabbies Descend Upon Vegas They didn't get to "Talk to Chuck," but attendees of the 2007 Schwab IMPACT conference did get a chance to talk to Walt Bettinger, president and chief operating officer, as well as Charles Goldman, executive vice president of Schwab Institutional in an afternoon Q&A session.  |
Registered Rep. February 2, 2011 Diana Britton |
RIA M&A Hits Record in 2010, More To Come In 2011 Registered investment advisory firms were furiously busy getting hitched last year: they did the highest number of merger and acquisition deals recorded in at least seven years.  |
Financial Planning October 1, 2008 Stacy Schultz |
The Real Deal More than half of all registered independent advisory (RIA) firms bought or considered buying another advisory firm at least once in the past two years.  |
Financial Advisor April 2008 Evan Simonoff |
The Big Chill While the financial advisor community and their clients have avoided most of the mortgage-related problems, advisory firms' merger and acquisition activity is suddenly becoming a victim of fixed-income market paralysis.  |
Registered Rep. March 1, 2008 |
Independent Together The "RIA-in-a-box" model will attract plenty of wirehouse reps who may have previously balked at the idea of going completely independent, fearing they were unprepared to run their own businesses.  |
Registered Rep. January 25, 2010 Halah Touryalai |
LPL's New RIA Platform Rakes in Assets Since launching the platform in October 2008 through the end of 2009, the firm gathered $7.3 billion in assets.  |
Registered Rep. July 16, 2014 Diana Britton |
Asset Management Growth Belies Systemic Decline in Revenue The global asset management industry had a pretty good 2013, with record assets under management and profits soaring 17 percent over 2012, a new Boston Consulting Group report shows.  |
Financial Advisor November 2011 Evan Simonoff |
M&A Game Changer Leading custodians in the RIA space are offering acquisition financing to firms that do business with them.  |
Registered Rep. October 15, 2010 Charles Paikert |
Schwab's Advisor Services Results Beg the Question: Has the Breakaway Brokerage Phenomenon Peaked? Has the great diaspora of breakaway brokers to Independence Land -- either independent b/ds or RIAs -- climaxed?  |
Investment Advisor March 2008 James J. Green |
One Down, How Many to Go? Ken Fisher's the biggest RIA out there, but his firm just got a little bigger by acquiring a much smaller RIA. It's likely the first of many.  |
Registered Rep. October 29, 2009 Kristen French |
RJFS Raises RIA minimums, LPL Pulls Past RJ in RIA Assets Raymond James is raising minimums for new RIAs who want to custody assets on its RJFS-IAD platform from $30 million to $50 million.  |
Investment Advisor July 2010 Lewis Schiff |
Succession Planning: Buying and Selling Wealth Management Practices 2010 could be the biggest year ever for mergers and acquisitions in the financial advisory industry, but the players and strategies are different than they were prior to the market turndown.  |