The Practice: Succession planning

RIA Consolidation? It's Just Getting Started: Execs

September 24, 2021No Comments

August was the third most-active month for both mergers & acquisition transactions and highest client asset volume since Fidelity Investments began tracking the data in 2016.

RIA Firms are Either Disruptors or Disrupted, No Middle Ground: Exec

September 23, 2021No Comments

Mergers and acquisitions will be crucial not just to compete but also to stay relevant, according to industry executives.

More FAs Positive on RIA M&A Prospects

September 23, 2021No Comments

Many advisors and financial professionals believe mergers and acquisitions activity will pick up over the next 12 months.

FAs Weigh In: Preparing the Next Generation of Advisors

September 10, 2021No Comments

“It’s our duty as team leaders to help incoming advisors reframe their role and recognize their value,” says Harrison Wallace Financial Group’s Faron Daugs.

LPL Attracts $400M Practice from Cetera

September 8, 2021No Comments

Corpus Christi Financial Group plans to work with LPL to acquire client assets of retiring advisors.

Hire from Other Industries, Retrain Talent as FA Exodus Looms: Execs

September 7, 2021No Comments

The industry is facing both “a succession crisis” and “a relevance crisis,” according to one executive.

Covid Has Hurt RIA Employee Retention, Firm Culture

August 19, 2021No Comments

On the other hand, the pandemic has been accompanied by a rise in employee productivity at registered investment advisor firms.

Wirehouses Tweak Sunset Plans Amid Wave of FA Retirements

August 16, 2021No Comments

Nearly half of wirehouse advisors’ assets are expected to be in play in the next decade.

Why One UBS Vet Split for Independence

August 4, 2021No Comments

“Why are all these billion-dollar teams transitioning to independence?" Robert Harris was asking himself while at the wirehouse.

Most Americans in Dire Need of Social Security Education: Survey

July 26, 20211 Comment(s)Last Comment: July 19, 2021

Failing to “close the knowledge gap and correct some of these misconceptions can have costly repercussions”, according to Nationwide Retirement Institute’s Tina Ambrozy.