10/18/2017 | Content area:
John Ritter’s first purchase of an IA firm went so well that he took for granted the second one would as well. It didn’t.
“We missed the managerial ...
10/12/2017 | Content area:
Steven Wolken, CCO at Hartland & Company in Cleveland shares his compliance checklist for when an adviser acquires another advisory firm.
11/23/2016 | Content area:
Stating that it’s answering questions it has long received, the SEC’s Division of Investment Management has released new guidance geared to helping ad...
11/17/2016 | Content area:
Odds are you have only months before the SEC will mandate that you must have a written transition plan. Many advisers lack them. Listen to peers who h...
8/11/2016 | Content area:
Open up any SEC proposed or final rule and you’ll find the actual rule in the back. But the lead up to the formal regulatory language – known as the “...
11/18/2015 | Content area:
The Jacko Law Group in San Diego gives IA Watch permission to share its checklist for firms seeking to transition to new ownership.
10/07/2015 | Content area:
Look for recommendations related to funds’ use of derivatives to be advanced by the SEC by year-end. In a Sept. 29 address in celebration of the 75th ...
9/17/2015 | Content area:
Melissa Hammel’s career seemed boundless after she was hired by a big company. Never had she envisioned later running her father’s small investment ad...
9/26/2014 | Content area:
Investment Adviser | Broker-Dealer | CPO/CTA | Private Fund
The Investment Advisers Act of 1940Section 203 -- Registration of Investment AdvisersNecessity of registration. Except as provided in subsection (b) a...
2/18/2013 | Content area:
With the average age of an owner of an investment advisory firm edging toward the big 6-0, Matt Cooper wanted to get the word out on how they can maxi...
12/10/2012 | Content area:
Firms can have a host of reasons to sell ownership shares or place them in a trust, from succession planning to welcoming a new partner. Moving with f...
5/04/2009 | Content area:
The tough economy has claimed its share of casualties and some advisory firms are among them. The fiduciary duty inherent in the profession binds firm...
4/13/2009 | Content area:
It began over lunch last May. David Bottoms, founder of Oaktree Asset Management, an RIA in New York, invited Peter Raimondi, president & CEO of Banya...
2/05/2009 | Content area:
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