AssetMark Launches Marketing Advantage Platform
The all-in-one marketing platform seeks to help advisers implement powerful marketing strategies, build relationships and grow their business.
Tag: RIA
More Lessons From Record M&A Action Backed by Private Equity
In part due to the growing role of private equity backers, competition between ‘financial buyers’ and ‘strategic acquirers’ appears set to heat up in the coming years.
Trends
Products
Career Mentor or Advocate?
Underrepresented groups are advancing in financial services, but what helps the most is having a workplace advocate—someone to champion their abilities when they’re not in the room.
New WIPN Research Compares ‘Advocates’ and ‘Mentors’
Mentors are like gurus—they are critical sources of information and inspiration—but the group says a true workplace ‘advocate’ can do a lot more to help people from underrepresented groups succeed in the financial services industry.
RIA in a Box Enables Automated Communications Archiving and Review
It also helps wealth management RIAs be better prepared for examinations.
Deals & People
Deals & People
Q1 2021 Sees ‘Record-Shattering’ Pace of Adviser M&As
Strong market conditions, increased competition from buyers and favorable deals for sellers laid the foundation for the activity, according to the latest data published by Echelon Partners.
RIAs Need to Remain Competitive in the Face of Record M&As
For those looking to be acquired, growth is key, says a BNY Mellon Pershing executive.
Client Service
15th Anniversary of RPAY: Bukaty Companies Financial Services
Since winning the 2019 PLANSPONSOR Retirement Plan Adviser Mega Team of the Year award, Bukaty Companies Financial Services was acquired by employee benefits giant OneDigital, greatly expanding the services it can now offer clients.
Practice Management
Adviser Industry Headcount Shows Solid Growth
Data shared by the Investment Adviser Association shows the number of SEC-registered investment advisers continues to grow at a steady pace, reaching yet another record high at the end of 2019.
Deals & People
Deals & People
Wealth Management, RIA M&As Should Continue at Record Pace
Experts say it’s a seller’s market, and the consolidation of the industry will yield better services for retirement plan participants.
PANC 2020: Adviser Industry M&A From an Academic Perspective
Larger, more established firms are acquiring wealth management and RIA firms.
ERISA vista
Deals & People
Deals & People
Practice Management
Deals & People
Client Service
Practice Management
Compliance
New Obligation to the SEC
Client relationship summaries will be needed to do rollovers.
There Were 13 RIA Transactions in January Totaling $18.9 Billion
After a record year for wealth management M&As in 2019, Fidelity expects the momentum will continue into 2020.
Advisers as Hybrid W-2 and 1099 Employees
Questions about compensation lie at the heart of advisers’ decisions about independence, practice ownership and opportunities for affiliation.
Broadridge Acquisition of Fi360 Underlines RIA Fiduciary Evolution
Leading up to its own acquisition by the larger Broadridge organization, Fi360 had been actively acquiring other fiduciary solutions firms, aiming to build a comprehensive suite of RIA services.
Last Chance for Our Annual Adviser Top 100 Survey!
Plan advisers and adviser teams looking to be considered for our 2020 Top 100 Retirement Plan Adviser listing must complete the first step in this process by end-of-day Wednesday, September 25.
Washington Financial Scooped Up By Hub International
With the acquisition of Washington Financial Group, HUB International has made public the first of a series of significant anticipated acquisitions of Global Retirement Partners firms.
Familial Caregiving Impacts Many Clients’ Finances
One in five U.S. adults currently assists an older family member with daily tasks or housing, according to a new survey from RBC Wealth Management; in addition to causing stress and anxiety, the impact of caregiving can be significant on an individual’s financial health.
Fidelity M&A Report Counts Fewer, Far Bigger Deals Among RIAs and IBDs
Fidelity’s 2019 Wealth Management M&A Transaction Report shows there were 23 RIA deals inked during the year worth $1 billion or more.
After Grace Period, SEC Share Class Disclosure Investigations Begin
Attorneys warn the “other shoe has dropped” in the SEC’s special Share Class Disclosure Initiative—and RIAs that did not self-report potential 12b-1 fee disclosure violations are now being investigated.