Recordkeepers Holding Steady on Staffing—So Far
DCIIA and SPARK surveyed members in early April with regard to the CARES Act and the effects of the coronavirus pandemic.
Practice Management
Be Stronger in the Recovery
Todd Kading, president and co-founder of LeafHouse Financial, discusses the importance of flexibility and innovation when the tough times arrive.
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Practice Management
Adviser Industry Impact of COVID-19
The coronavirus has brought a cooling of the pace of M&A, questions about remote work and concerns about what a slowdown in growth could mean for those advisory firms that have been pushing hard for scale.
M&A Process Evolves Amid COVID-19 Pandemic
As market volatility and the COVID-19 pandemic unfolded in March, merger and acquisition activity slowed, raising the obvious question of how the record pace of deals will be affected by the coronavirus pandemic.
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First Time Advising in a Bear Market?
It’s easy to tell clients their accounts have grown by leaps and bounds, but helping them calmly navigate a severe and sustained market downturn is another matter.
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Staying Audit Ready in a Turbulent Time
As one might expect, what the Department of Labor (DOL) and the Securities and Exchange Commission (SEC) are particularly interested in is how advisers are paid.
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How to Run a Remote Advisory Firm
‘This is likely the moment we will become full-time remote and never go back,’ one adviser says. ‘The challenge will be maintaining camaraderie.’
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Are You an Adviser or Consultant?
Think that distinction doesn’t matter? Just ask your service provider partners.
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Practice Management
Practice Management
Practice Management
At the Helm: Advisers and Clients Embrace 3(38) Services
The retirement planning world has moved steadily toward 3(38) fiduciary investment management services, driven by the shared preferences of plan sponsors and advisers.
M&A as Adviser Talent Acquisition Strategy
The retirement planning business is a people business.
Could Market Volatility (or Recession) Disrupt Record M&A Activity?
For some years now, advisory firm owners have enjoyed a sellers’ market that has spurred record merger and acquisition volumes.
Can ‘White Glove’ Brokers Steal Fidelity’s Lunch?
High-end brokerage firms are seeing the appeal of being able to serve the middle and mass affluent markets, thanks in large part to the success of Fidelity and Charles Schwab.
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Practice Management
Practice Management
Your Clients Can Expect More Testimonials and Solicitations
The U.S. Securities and Exchange Commission’s set of proposed advertising regulations give advisers and their representatives much more leeway to tell their story to prospective clients.
Registration Is Open for the 2020 PLANADVISER National Conference in Arizona
We are confident that PANC 2020 will be the premier event for retirement specialist advisers to meet the right people, hear the best ideas and create new opportunities. Join us at our new venue in Arizona!
Lessons from the Edward Jones Women’s Conference
Speakers and attendees at the event, which drew some 200 leading female advisers from across Edward Jones, emphasized the importance of mentorship and providing a robust support structure for new advisory professionals.
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M&A Mechanics: What to Know Before Selling or Buying
How is an advisory practice’s value measured? What determines the revenue measurement—or the multiple?
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Practice Management
Practice Management
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Ready for a New Market?
Nonprofits and other sponsors of 403(b) plans need the fiduciary and investment expertise of specialist retirement plan advisers.
2019 Broke RIA and IBD Merger and Acquisition Records
Fidelity reports there were 127 registered investment adviser merger or acquisition transactions during all of 2019, which is up 44% over 2018.
More Advisers Look for Co-Fiduciary Support from their B/Ds
A look at the results of the PLANADVISER Practice Benchmarking Survey between 2011 and 2019, showing some areas of significant evolution in the way advisers build and run their practices.
2019—the Year of Mergers and Acquisitions
Wells Fargo, PSC, Aspire, Charles Schwab, Hub International, CAPTRUST and many other firms have been involved in significant merger and acquisition activity this year.