Unintended Consequences Behind the SEC’s Proposed Rules on Service Providers

Posted on December 5, 2022
New rules proposed by the SEC would require greater due diligence for RIAs when working with third-party investment and compliance service providers. The proposed rules are likely to get …
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M&A and Succession

How to Evaluate an Internal Successor When You Sell Your Financial Advisor Book of Business

By: Carson Group
By Liz Milacek, Director, Partner Acquisitions   The financial industry has long been aware of an impending shift: the “great wealth transfer," spurred by an aging population that has …
M&A and Succession

3 Questions Financial Advisors Must Answer Before Pursuing M&A Deals

By: Carson Group
Michael Belluomini, Vice President, Mergers and Acquisitions There has never been a better time for advisor-CEOs to explore growing their business through M&A. Two key trends are fueling opportunities for …
M&A and Succession

An Overview to Buying and Selling a Financial Advisor Book of Business

By: Carson Group
Michael Belluomini, Vice President, Mergers and Acquisitions   Mergers and acquisition activity in the wealth management space is hot. What's driving this wave of deals? M&A gives advisors the …
Business Management

The Three Factors That Determine If Now Is The Right Time to Sell Your Firm

By: Carson Group
Timing is everything when it comes to selling your firm. You need to feel ready to relinquish ownership. Your willingness to exit – and, ultimately, your firm’s valuation – is dependent …

The Art and Science of Portfolio Construction

By: Carson Group
Portfolio construction is both an art and science. The science of portfolio construction evolved over time producing different asset allocation methods. The science of investing has had its share …
M&A and Succession

3 Essential Steps for Advisors Thinking About Succession Planning

By: Carson Group
Time has a way of marching forward without asking. Openly acknowledging this allows us to better envision and plan our lives, both personally and professionally. A large number of …
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