InvestmentNews: 4 keys to preparing your firm for a transaction

Dec 6, 2022

InvestmentNews: 4 keys to preparing your firm for a transaction

Group of finance professionals gathered around a desk, discussing some paperwork and graphs

Shoring up your practice not only makes your firm a better place to work, but it also readies it to weather the storm in the event you have a health setback and can’t work, and it prepares it just in case the ideal opportunity comes along and an outside entity wants to partner with you. In his November 30^th, 2022, practice management column for InvestmentNews, Allworth Co-CEO Scott Hanson gives readers four things to do to help make certain their practice is running on all cylinders.

Read the full article at InvestmentNews.

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¹The NBRI Circle of Excellence Award is bestowed upon NBRI clients meeting one or both of the following criteria: Total Company score at or above the 75th percentile of the NBRI ClearPath Benchmarking Database and/or improvement of five (5) or more benchmarking percentiles in Total Company score over the previous survey.

²Scott Hanson (2011, 2012, 2013, 2014, 2015 & 2016) and Pat McClain (2012, 2013, 2014, 2015 & 2016). Barron's© magazine is a trademark of Dow Jones L.P. The ranking reflects the volume of assets overseen by the advisors and their teams, revenues generated for the firms and the quality of the advisors' practices.

³As of 12/21, Allworth Financial, an SEC registered investment adviser and AW Securities, a registered broker/dealer have approximately $14 billion in total assets under management and administration.

⁴Barron’s 2020 Top 100 RIA Firms. Barron's© magazine is a trademark of Dow Jones L.P. The ranking reflects the volume of assets overseen by the advisors and their teams, revenues generated for the firms and the quality of the advisors' practices.

⁵4th fastest-growing RIA Firm in the U.S. from Financial Advisor (FA) Magazine, 2020. FA Magazine is a trademark of Charter Financial Publishing
Network Inc.

⁶Ranked 9th Top Wealth Managers By Growth in Assets in the U.S. from RIA Channel, 2022. RIA Database and RIA Channel are registered trademarks owned by Labworks, LLC.

✢Scott Hanson, Investment Advisor 2005, 25 most influential people in the financial services industry. The ranking reflects 25 people who Investment Advisor magazine believes have had or will have the greatest influence on the financial services industry.

✼Pat McClain, InvestmentNews 2014, Invest in Others Community Service Award, presented to an advisor who has made an outstanding impact on a community through managerial contributions to a non-profit organization.

†Financial Times, FT 300 Top Registered Investment Advisers, June 2019. The ranking reflects six areas of consideration including the company's years in existence, industry certifications of key employees, AUM, asset growth, SEC compliance record and online accessibility and calculates a numeric score for each company.

Certified Financial Planner Board of Standards Inc. owns the certification marks CFP®, CERTIFIED FINANCIAL PLANNER™, CFP® (with plaque design) and CFP® (with flame design) in the U.S., which it awards to individuals who successfully complete CFP Board's initial and ongoing certification requirements.

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