Webinar Replay: RIA Dealmaking
Vigilant Insights
Recently, Vigilant’s President & CEO, Salvatore Faia, Esq., CPA, CFE, participated on a Thompson Hine Webinar with Andy Davalla (Partner) and Shelbie Harvey (Senior Managing Associate).
This Webinar explored the continued growth of RIA mergers and acquisitions, what drives deal activity, and how Firms can structure transactions effectively.
The following areas were covered below during the Webinar:
- Regulatory and Compliance
- Key filings/disclosures, common diligence red flags, recent SEC exam trends.
- Market Drivers
- RIA M&A and the current buyer landscape (including Private Equity).
- Valuation Drivers
- AUM, revenue quality, EBITDA multiples, client demographics, growth, team/succession, tech/ops, compliance, brand/niche.
- Deal Structures
- Equity vs. asset purchases, tax, liability, and transition trade-offs.
- Diligence Priorities
- Compliance, client contracts/consents, personnel, and succession planning.
- Client and Talent Retention
- Communication within regulatory constraints; employment agreements and restrictive covenants.
- Post-Closing Integration
- Aligning compliance programs, tech/ops, client transitions, and billing/financials.
- Near-Term Prep
- Steps sellers should take 2–3 years out; buyer integration readiness.
In case you missed this Webinar, the Webinar Replay is now readily available and can be found by clicking on the button below.