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Succession Planning (14)
Your search for Succession Planning returned 14 results.
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10/18/2017 | Content area: Investment Adviser
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: Investment Adviser
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: Investment Adviser
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: Investment Adviser
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: Investment Adviser
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: Investment Adviser
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: Broker-Dealer
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: Investment Adviser
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: Investment Adviser
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: Investment Adviser
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: Investment Adviser
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: Investment Adviser
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: Investment Adviser
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