Pinpointing a Legacy Firm in an M&A World

According to’s recently released 2023 M&A Outlook, advisory firm activity was on fire in 2022. Seventy percent of respondents to a survey conducted by and Informa Engage indicated that their firm had explored an acquisition, sale or merger in 2022, while 44% said their firm had actually executed an M&A deal.

Reframing What a Broker-Dealer Can Be

Use the term ‘broker-dealer’ and the connotations are instant: Behemoths. Slow-moving. Inflexible. Stuck in antiquated ways of running a business. Oil tankers or freight trains, if you want to get metaphorical about it.

Where Are We Now? A Look Back at Two Years Under RegBI

It’s been over two years since the SEC introduced the Regulation Best Interest – better known as RegBI – to establish, as the name suggests, a “best interest” standard of conduct to be followed by financial professionals when they make recommendations to retail customers of any securities transaction or investment strategy involving securities. RegBI, which […]

How a Research Partner Makes Managing Unpredictable Markets Easier

We’re hearing a lot of questions and conversations lately about what’s coming next for the market. We’ve been dealing with uncertainty and unpredictability for so long that it feels like we may never make it through to the other side, and we’re all looking for ways to create the most successful outcomes possible for our […]

Building a Financial Practice with a Focus on Teaching

Most of us in the financial services industry don’t think of ourselves as educators. Sure, we’re ready to help our clients better understand how to invest, save, and budget, but not many of us put teaching at the core of our businesses — and we could be missing out.  Ryan Ledden of Black Oak Asset […]

How to Go From a “Financial Professional” to “Business Owner”

How to make the leap from “financial professional” to “business owner” is a question we hear from a lot of financial professionals. Hiring a team means you can accomplish more than you could as a sole practitioner — you can service more clients, offload tasks you just don’t enjoy doing, and work with other high-performing professionals […]