Buy-sell agreements often play a crucial role in the succession of family businesses. It's therefore essential to structure and fund them properly and to understand how they can help fix estate tax values. The stakes are high for the business...
There's no such thing as an easy route to independence. But there are some things reps can do to ease the transition. Consultants say the most critical time for an RIA startup is likely about three to six months prior to its launch. The actions...
There are some topics in this business that seem to pop up again and again. This month's cover story addresses one of them: The difference between registered reps (Series 7 holders) and investment advisor reps (Series 65 holders). The investing...
It seemed like a guaranteed homerun. Eight years ago, Janet Stanzak joined forces with a nearby accounting firm in Minneapolis to launch and run a new wealth-management arm. The firm's eight partners referred clients to the new division, and all...
Firm City Phone Website Total AUM (millions) Total Accounts Number of investment advisors Number of clients 1 Veritable LP Newtown Square, PA 610-640-9551 www.veritablelp.com $8,442 1,558 11-50 500 2 Oxford Financial Group, Ltd Carmel, IN 317-843...
With the appetite for quality financial advisors richer today than it has ever been, it is definitely a buyer's market for you guys. So you better know what you're looking for in a brokerage house, and how to find out if a particular firm has got...
Times are tight for small-business owners. Not immune to the sub-prime mortgage collapse, many are finding their best sources of capital home equity financing and credit card debt have dried up. Most recently, small-business financial allies like...
Felipe Luna is on the Prowl for More Advisors particularly wirehouse reps who are lusting after the independent life for his RIA firm, San Jose, Calif.-based Concert Wealth Management. In October, Concert brought on three Morgan Stanley reps with...
Did you think financial advisors would be immune to the sub-prime crisis? Think again. Sure, you've heard that credit markets are tight. Capital is obviously still scarce at the big Wall Street firms, which have collectively written down over $100...
(Bold Indicates Top 100 RIA) Firm City Phone Website Total AUM (millions) Total Accounts Number of investment advisors Number of clients CALIFORNIA Kochis Fitz Quintile Investment Advisors, LLC San Francisco 415-394-6670 www.quintile.com $4,961...
