For Clients Selling Their Businesses, M&A Can Get Messy
By Vincent BiemansDetermining the anticipated proceeds of the sale of a client's business is not always as simple as it seems.
November 08, 2017
SEC OKs FINRA Rule on Capital Acquisition Brokers’ Pay-to-Play ActivitiesGovernment plan solicitors can continue their activities on behalf of RIAs by submitting to the lighter CAB regulatory regime, says Cipperman.
November 07, 2017
After 6-Month Surge, RIA M&A Deals Drop Sharply in Q3: DeVoeThe quarter was the weakest the RIA industry has experienced in nearly three years.
November 07, 2017
Under Pressure, LPL Cuts Fees on Corporate RIA PlatformThe news comes on the heels of more departures of reps acquired from LPL's purchase of NPH.
November 07, 2017
Wells Fargo Finally Launches Its Robo-Advisory ServiceIntuitive Investor is available for clients with a minimum $10,000 in assets for a fee of 50 basis points.
November 06, 2017
DOL Rule Delay Will Likely Be Final in 3 Weeks: AcostaMeanwhile, NAFA asks for a delay of oral arguments, while Thrivent wins some relief from anti-arbitration rules under BICE.
November 06, 2017
Retail Investors Clamor for ETFs as Inflows Grow 19%: BroadridgeActively managed funds are falling farther and farther behind in the race for new money and new clients, Broadridge's Jeff Tjornehoj says.
November 03, 2017
Fintech Deployment Woes? Call In the ‘New Gatekeeper’ TeamThe choice of technology solution whether for CRM, planning or practice management is often fraught with peril.