5 Guideposts for RIAs to Comply With SEC’s Change of Control Rules
All RIAs will inevitably need to navigate the SEC’s “change of control” rules and guidance. Here’s how to stay on course.
Advisor M&A Surging to Record Year; Should Be ‘New Normal’: DeVoe
With busiest quarter for deals still to come, 2016 is shaping up as record year for RIA mergers and acquisitions, says Dave DeVoe.
Advisor M&A Maintains Record Pace in First Half: DeVoe
The average size of firms involved in M&A increased sharply as banks and PE firms emerged as buyers.
Cam Marston: Generational Translator — The 2016 IA 25
Cam Marston explains the nuances of different generations to each other, with humor and insight.
Peyton Manning’s Last Lesson: Knowing When to Quit
People tend to love what they do. For advisors as well as athletes, it’s time to quit when you don’t love what you do anymore.
Wells Fargo Promotes Sloan, Positioning Him as Likely CEO
“It establishes a succession plan,” says analyst Marty Mosby, though the bank adds there are “other viable candidates.”
8 Tips for Preserving a Firm’s Culture Post-Merger
Greg Friedman of Private Ocean and Brent Brodeski of Savant Capital suggest these steps to maximize success.
Pretty Good Week for Live Oak Bank: $200M in Advisor Loans, Plus an IPO
The bank that lends to small businesses held a successful IPO in the same week it hit the $200 million mark in advisor loans.
The Perils of Advisor Sole Proprietorships and Single-Member LLCs
When it comes to continuity planning, the corporate form an advisor chooses for his practice can make all the difference.
Savant Makes Orion Capital Its Third RIA Acquisition in 17 Months
The Orion Capital Management acquisition brings Illinois-based Savant’s total AUM to nearly $4.5 billion, and CEO Brent Brodeski says another deal is "in the works."