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Thought Leadership

Congrats 2020 (21)

Identifying and Investing in High-Upside Individuals

Staffing, developing and investing in people is perhaps the most challenging aspect of any small business – a challenge that is exacerbated considerably if that small business is a Registered Investment Advisor (RIA). The impact of poor decisions is magnified, and the detrimental impact on margins, income and workload can be significant. This case study will examine how…

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Demystifying RIA Mergers and Acquisitions in the Context of Succession

The term “M&A” is thrown around rather loosely. We read about M&A activity daily in financial publications like the Wall Street Journal, but usually what’s being reported on relates to one corporate giant acquiring another. Even when we read about one asset manager buying another, this usually refers to large-scale organizations combining due to market conditions. For RIA firms, the vast majority of which are private entities with fewer than ten employees, what does an acquisition or sale truly mean?

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