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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. 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.  |
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 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.  |
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. 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?  |
Investment Advisor January 2010 James J. Green |
Numerology: Bright Future for Advisor M&A Activity M&A activity among RIA firms is poised for resurgence, as a new market environment emerges and the pool of potential buyers undergoes dramatic change.  |
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.  |
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.  |
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. February 26, 2013 Megan Leonhardt |
Let's Make A Deal The RIA M&A market is poised for growth, but not gaudy growth.  |
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.  |
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.  |
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. 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. 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 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.  |
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 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.  |
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. May 2, 2011 Diana Britton |
Top LPL Advisor Leaves to Start His Own B/D, Eyes Acquisitions Registered Rep.'s top-rated 2010 independent broker/dealer advisor Ron Carson has announced plans to leave LPL Financial  |
Registered Rep. April 16, 2012 Jerry Gleeson |
Schwab RIA Unit Sees "Consistent" Growth Schwab Advisor Services is signing up advisor assets at a pace that tracks its historical average.  |
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. June 1, 2005 |
A Hit with the Rich The percentage of high-net-worth households naming a registered investment advisor (RIA) as their primary advisor rose to 46% in 2004 from 30 percent in 2001. The growth came at the expense of the wirehouses.  |
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.  |
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.  |
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.  |
Registered Rep. November 20, 2009 David A. Geracioti |
Schwab Survey Shows Many FAs at Big Firms Disgruntled (Surprise!) Obviously, the dramatic upheaval that changed the landscape of Wall Street is having some negative effect on advisors at major firms.  |
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.  |
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.  |
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. 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 February 2004 Sydney LeBlanc |
Stature, Service, Size, Simplicity Schwab, Fidelity and Waterhouse are building sophisticated SMA (separately managed account) platforms.  |
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.  |
Financial Planning March 1, 2011 Donna Mitchell |
Hot Topics M&A activity peaked in 2010... Advisors in touch... Untapped business serving retiring boomers...  |
IndustryWeek January 1, 2009 Jonathan Katz |
Merger Meltdown: By the Numbers In 2008 only 8 manufacturing mergers with a value of $50 million or more were completed in Q 3.  |
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.  |
Registered Rep. March 1, 2007 |
Gobbling Up RIAs The RIA holding company Focus Financial recently snatched up three more firms, bringing total acquisitions to 9 and assets under management to $15 billion.  |
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?  |
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.  |
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.  |
Financial Planning October 1, 2006 Marshall Eckblad |
Advisor Pulse The registered investment advisor market continues to add assets at a hefty rate.  |
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.  |
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 1, 2005 John Kador |
Schwab Does It Again Charles Schwab, the pioneering discount broker who was slammed by the tech wreck and suffered through protracted management struggles in the past two years, is beating the wirehouses at their own game.  |
Registered Rep. April 30, 2009 Christina Mucciolo |
Schwab Says It's Going On Offense -- As If It Weren't Already The company is preparing to go on the "offense" to gain market share -- both in terms of winning client assets and recruiting breakaway brokers.  |
Investment Advisor February 2008 James J. Green |
Lessons From a Banker Investment Advisor meets with investment banker Nimi Natan, who specializes in putting together deals for smaller business owners looking to sell or merge their businesses.  |
Registered Rep. November 13, 2015 Ryan W. Neal |
Despite Volatility, Advisor Confidence High The market volatility in the third quarter wasn't enough to shake advisor optimism.  |
Registered Rep. September 27, 2011 Jerry Gleeson |
Want More Prospecting Time? Integrate Your Tech, Study Says The cost of inefficient technology integration at registered investment advisor practices may be more than you would think.  |