RIA Dealmaking Webinar | Strategy, Risk & Readiness
Vigilant Announcements
On Tuesday, October 21st, from 2:00 PM to 3:00 PM ET, Vigilant’s President & CEO, Salvatore Faia, Esq., CPA, CFE, will be participating on a Thompson Hine Webinar with Andy Davalla (Partner) and Shelbie Harvey (Senior Managing Associate).
This Webinar explores the continued growth of RIA mergers and acquisitions, what drives deal activity, and how firms can structure transactions effectively. It will cover valuation, deal terms, regulatory factors, and practical ways for both buyers and sellers to protect value and reduce risk.
The session will focus on the following key areas related to this topic:
- 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.
To register for the Webinar, click the button below!