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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. 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.  |
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?  |
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.  |
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. 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.  |
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.  |
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. October 8, 2015 Megan Leonhardt |
Breakaway Advisors Moving More to Existing RIAs More advisors are looking to leave the wirehouses and brokerages by joining an existing registered investment advisory firm, rather than starting their own.  |
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. 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.  |
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.  |
Financial Advisor September 2012 |
RIA Acquisitions Poised To Accelerate A growing number of large RIAs are preparing their firms for sale, and more than a few are retaining investment bankers to draw up the required financial documents any acquirer would demand, according to Schwab Advisory Services.  |
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.  |
Registered Rep. June 29, 2009 Halah Touryalai |
Schwab Cuts Some Fees for 2009 In an effort to ease the financial pain of its registered investment advisors, Charles Schwab has announced a series of initiatives that will save them money.  |
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.  |
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.  |
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.  |
Financial Planning May 1, 2011 Donna Mitchell |
Hybrid's New Groove Registered investment advisor firms looking for ways to expand their businesses might try turning to broker-dealers for a boost.  |
Registered Rep. May 5, 2008 |
LPL Financial Heats Up The RIA World The largest independent broker/dealer in the U.S. announced today it's going to launch an RIA custodian later this year, which will serve both hybrid and fee-only investment advisors who operate independent RIAs.  |
Registered Rep. July 16, 2009 Halah Touryalai |
Schwab Profits Down for Q2 But Keeps Adding Breakaway Brokers Charles Schwab reported that its second quarter profit fell 31 percent, thanks to low interest rates and soft capital markets, but in the meantime the company has added 74 breakaway advisors to its RIA platform.  |
Investment Advisor December 2005 James J. Green |
Talk to Chuck Schwab the company began as a transaction service, then moved into mutual funds, but Schwab the man believes his greatest legacy was his ability to democratize investing, and to support the notion that people could get their advice from someone who did not have a conflict of interest.  |
Financial Planning February 1, 2006 Marshall Eckblad |
The Cost of Inefficiency As demand for competent wealth management grows, the need for efficient and successful business operations is greater than ever for advisory firms.  |
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 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.  |
Financial Planning March 1, 2011 Donna Mitchell |
Hot Topics M&A activity peaked in 2010... Advisors in touch... Untapped business serving retiring boomers...  |
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.  |
Investment Advisor January 2008 |
Back Office Deal A strategic deal between Charles Schwab and a back-office consulting firm will afford RIAs more outsourcing options.  |
Financial Advisor July 2010 Bernie Clark |
Gunning For Growth RIA firms estimate that they'll see 15% revenue growth this year. An emphasis on efficiency will free principals to go after new business again.  |
Registered Rep. April 1, 2007 John Churchill |
Can Schwab's RIA Empire be Toppled? Last year the online-broker-turned-advice-provider extended an already massive lead over rivals Fidelity and TD Ameritrade in RIA asset gathering. Is there no challenger to Schwab's throne?  |
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. November 1, 2005 Christopher O'Leary |
Going All the Way Across the country, registered rep employees of national broker/dealers daydream of chucking it all and going off on their own. But how far do you go? Which is the best model for keeping the most of what your business generates?  |
Registered Rep. November 1, 2007 |
Sure is a Good Time to be a Financial Advisor Broker/dealers and registered investment advisories are searching for advisor talent as never before. In fact, advisory firms are competing for talent even more than they are competing for clients.  |
Financial Advisor August 2009 Jeff Schlegel |
Still Optimistic Most advisors are satisfied with their growth, but intense workloads and lousy markets have caused dissatisfaction to rise.  |
Registered Rep. December 1, 2006 Kristen French |
60 Seconds with Deborah Doyle McWhinney A short interview about the rivalry between the registered investment advisor (RIA) firms that Schwab caters to and Wall Street wirehouses.  |
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. August 8, 2011 Jerry Gleeson |
Schwab: Franchisees Can't Poach RIA Clients Advisors who are considering Charles Schwab's new independent branch program are being told they will have to abide by the company's contact policy.  |
Investment Advisor January 2007 James J. Green |
Schwab To Sell U.S. Trust Unit Charles Schwab announced that it would sell its U.S. Trust unit to Bank of America for $3.3 billion in cash in a deal that should close in the second quarter of 2007, assuming it passes the necessary regulatory hurdles.  |
Registered Rep. March 6, 2014 Diana Britton |
Independent Channels Continue to Steal from Wirehouses RIA and dually registered advisory channels will grow their share of the advised assets to 26 percent by 2016, according to a report by Cerulli Associates. That growth will largely come at the expense of the wirehouse channel.  |
Financial Planning November 1, 2007 Elizabeth O'Brien |
A Visionary Move An interview with Mark Tibergien, a well-known and respected consultant at Moss Adams, as he takes the helm at Pershing Advisor Solutions.  |
Financial Advisor January 2004 Dorothy Hinchcliff |
Custodians Are Knocking More custody players have been clamoring for the business of registered investment advisors, and that trend will continue this year, say two well-known research firms for financial institutions and investment managers.  |
Investment Advisor June 2006 Kathleen M. McBride |
Stretched For broker/dealers who are already stressed, dually registered advisors are a challenge being met in varied ways.  |
Registered Rep. November 18, 2008 Brooke Southall |
Schwab Re-Org Combines RIAs With Retirement Biz Schwab Institutional had an awesome year in 2008, but it isn't resting on it's laurels. Schwab is reorganizing, removing a well-respected executive, and combining the RIA unit with the retirement and corporate services unit.  |
Registered Rep. March 1, 2006 Kristen French |
The Best of Both Worlds Advisors say the broker/dealer-RIA hybrid model gives them freedom to choose what products, services and fees are best for their clients.  |
Financial Advisor July 2012 Bernie Clark |
The RIA Universe Advisors should look not just at their own internal business practices but also at the changes and trends occurring across the RIA field.  |
Registered Rep. April 16, 2012 Jerry Gleeson |
If You Build It, Will They Come? RIA Consortium Says Branding Is Key Advizent wants to unite the fractured universe of RIAs, impose standards on the practitioners, get better deals from vendors and educate potential clients on the merits of the independent channel.  |
Registered Rep. July 29, 2013 Diana Britton |
No Man Is an Island Independent broker/dealers are dressing up their offerings to attract and retain advisors tempted to start their own RIAs.  |
Registered Rep. August 25, 2008 |
What Is Your Practice Worth? Plenty--If You Are Fee-Based Considering selling all or part of your book? Buyers don't seem to care about a business model, they are only interested in the present and future revenue streams.  |
Investment Advisor March 2006 Melanie Waddell |
The Playing Field: Here, There and Everywhere Dually registered advisors (advisors who are registered with both the SEC and the NASD, and are collecting both fees and commissions) have the best -- and worst -- of both worlds. However, a new study shows when implemented properly, the hybrid model can be very profitable.  |
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.  |