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M&A

The latest headlines in wealth management.

Employee Applause
2/26/21 | News | Focus Financial

Focus Financial’s PE Backers Eye $323 Million Pay Day with Stock Sale

Focus Financial

Focus Financial Partners Touts Billion-Dollar War Chest for RIA Acquisitions

2/18/21 | News | 1 Comment

“We see many attractive opportunities to deploy capital,” says CEO Rudy Adolf, citing $1 billion to fuel deals in 2021.

Read More

Earnings, Focus Financial Partners, M&A, RIA
CI Financial
CI Financial

CI Financial CEO Shrugs Off Debt, Says Buying U.S. RIAs Pays

2/11/21 | News

Despite rising debt, CI Financial chief Kurt MacAlpine says the Toronto-based asset manager will continue to buy RIAs in the United States.

Read More

CI Financial, Earnings, Independent Advisors, M&A, RIA, Segall Bryant
Big
Cerulli

Big Firms Get Even Bigger, Cerulli Says

2/8/21 | News

Almost 72% of U.S. brokers work at the 25 largest firms, up from 58% ten years ago, according to a new study highlighting accelerating industry consolidation.

Read More

broker-dealers, Cerulli Associates, Cetera Financial Group, consolidation, LPL Financial, M&A
Advisors
Cetera, Voya

Cetera to Buy Voya Brokerage Unit with 900 Reps

2/8/21 | News | 1 Comment

Voya Financial’s independent broker-dealer, which includes around $40 billion in client assets, will become part of Cetera Advisor Networks.

Read More

Cetera Financial Group, Genstar, ING, LPL, M&A, Voya Financial
LPL, Waddell & Reed

LPL Gets ‘Commitments’ from Waddell Advisors Serving 80% of Assets

2/5/21 | News | 1 Comment

LPL CEO Dan Arnold said it is having an “ongoing dialogue” with the remaining undecided Waddell & Reed advisors ahead of the mid-year closing of the deal.

Read More

Earnings, M&A
Kurt Miscinski
RIA Cerity Partners

PE Strikes Again: Lightyear-Backed Cerity Buys $1.1 Billion Boston RIA

2/2/21 | Advisor Moves, News

The acquisition of Bainco International Investors brings Cerity Partners’ total assets to over $28 billion.

Read More

Cerity Partners, Lightyear Capital, M&A, New England, RIA, The Mather Group
Pittsburgh, Pennsylvania

PE-backed Captrust Buys $800 Million-AUM Pennsylvania RIA

1/29/21 | News

PWA Wealth Management was the roll-up’s seventh acquisition to close in 2020.

Read More

Captrust Financial Advisors, GTCR, M&A, Pittsburgh, RIA, Wealth Management
Deal
Atria Wealth, Morgan Stanley

Atria Wealth to Buy California Independent Broker SCF, Its Sixth Deal

1/27/21 | News

Independent broker-dealer aggregator Atria says SCF Securities will add about 150 brokers with $4 billion in assets under administration.

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Atria Wealth, Independent Broker, M&A, Morgan Stanley, SCF Securities, Wealth Management
Deals
HighTower

Hightower Takes Stake in $830 Million New York RIA

1/26/21 | News

Purchase of a stake in Siller & Cohen Family Wealth Advisors, a Rye Brook, N.Y.-based registered investment advisor, is Hightower’s third transaction in 2021.

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Hightower, M&A, MAI Capital Management, RIA, Thomas H. Lee Partners, Wealth Management
Business Deal

CI Financial Buys Chicago RIA and Asset Manager Overseeing $23 Billion

1/25/21 | News

The addition of Segall Bryant & Hamill, an RIA and institutional asset manager, brings Canada-based CI’s total U.S. assets to $46.1 billion.

Read More

Asset Management, CI Financial, M&A, RIA, Wealth Management
RIA Deal
Mercer Advisors

Mercer Buys Iowa RIA Managing $215 Million

1/25/21 | News

Purchase of Ames, Iowa-based Marrs Wealth Management by Mercer Global Advisors in December was the RIA rollup’s sixth closing that month.

Read More

Iowa, M&A, Private Equity, RIA, Wealth Management
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Tony Sirianni Podcast Banner

CORONACRASH NEWS

  • Stifel Bumps CEO Pay 15% to $11.5 Million

    Stifel Bumps CEO Pay 15% to $11.5 Million

    Apr 20, 2021
  • Fed to End Covid-19 Capital Break It Gave Wall Street Banks

    Fed to End Covid-19 Capital Break It Gave Wall Street Banks

    Mar 19, 2021
  • Credit Suisse Replaces U.S. Exec, Halts Bonuses as Clients Fume

    Credit Suisse Replaces U.S. Exec, Halts Bonuses as Clients Fume

    Mar 18, 2021
  • Firing of Billion-Dollar Broker Sends Warning on Work-from-Home Compliance

    Firing of Billion-Dollar Broker Sends Warning on Work-from-Home Compliance

    Mar 12, 2021
  • Big U.S. Banks’ Vows to Halt Job Cuts End as Virus Endures

    Big U.S. Banks’ Vows to Halt Job Cuts End as Virus Endures

    Feb 26, 2021

NEWS

  • RBC, Stifel Add Merrill Lifers in NY, NM

    RBC, Stifel Add Merrill Lifers in NY, NM

    Apr 22, 2021
  • Biden Eyeing Capital Gains Tax as High as 43.4% for Wealthy

    Biden Eyeing Capital Gains Tax as High as 43.4% for Wealthy

    Apr 22, 2021
  • SEC Chief Gensler Names Alex Oh to Lead Enforcement Division

    SEC Chief Gensler Names Alex Oh to Lead Enforcement Division

    Apr 22, 2021
  • Blucora Shareholders Shoot Down Activist’s Bid for Board Seats

    Blucora Shareholders Shoot Down Activist’s Bid for Board Seats

    Apr 22, 2021
  • Wells Terminates Three Brokers Over Past Insurance Sales

    Wells Terminates Three Brokers Over Past Insurance Sales

    Apr 22, 2021

Recruiting Winners: 2020 Year in Review

FINANCIAL INDUSTRY PODCASTS

AllIndependence
The must listen-to podcast for financial advisors by Tony Sirianni. Guests to include:
-Ron Kruszewski
-Shirl Penney
-Penny Pennington
-Eric Clarke
and many more
Incisive conversations focused on helping investors navigate the ever-changing global market landscape
Michael Kitces and Carl Richards discuss financial advising topics.
The “new advice value stack,” and how firms can use it to help maximize their own value propositions for their clients.
Interviews and insights for advisors curious about switching to a new broker dealer.
The Brighthouse Financial Insights Panel is a group of leading, independent experts providing powerful insights into the big challenges facing you and your clients.
Powering Independence Podcast, insights and ideas for RIAs, presented by Dynasty Financial Partners. A podcast dedicated to presenting fresh ideas and best practices for the wealth management industry.
As an industry expert, Frank LaRosa provides guidance and advice on a host of topics from recruiting and transitions, succession planning, practice management, M&A and more.
Our goal is to unlock the challenges to reveal the opportunities and what it means to provide advice in the 21st century.
Go behind the scenes with registered investment advisors and other related independent business model experts
As a nationally recognized recruiter and consultant to financial advisors, Mindy Diamond has unmatched experience in introducing advisors to the independent space.
The must listen-to podcast for investors, venture capitalists and financial advisors, with Tony Sirianni and Paul Dietrich.
An Introduction to Independence: 5 Key Episodes to Jumpstart Your Knowledgebase
Jay is an investment strategist, CERTIFIED FINANCIAL PLANNER™ and business consultant to financial advisors.
We interview top financial advisors and visionary voices to bring you the strategies, tips, and tools you need to make a difference in people’s lives.
A financial literacy and commentary show that features a number of investors, financial experts, professional athletes, business owners and more.
Join Sound Financial Group CEO Paul Adams and President Cory Shepherd every week, as they help you Design and Build a Good Life™.
The Kuderna Podcast, focusing on wealth in it's original meaning- a state of well being.
Timeless wisdom, actionable information you can use right now to make smarter investment decisions.
Made for and dedicated to those folks serious about their financial plan.
Suzanne Siracuse asks the questions nobody else asks, as influencers and interviewer collide in her new and truly unique podcast series The Big Reveal.
Our webcast is dedicated to helping our viewers get real insights by avoiding the cognitive dissonance of today’s media outlets and biased editorial filters.

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