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Articles by Rick Kent
Why advisers should go all in on niche markets
The topic of whether advisers should consider themselves a generalist or a specialist has been publicly — and some would say tirelessly — debated for decades. So why are many advisers still caught in the middle of the niche versus generalist mindset? I believe one of the biggest reasons is that over time, our industry has synonymized niche practices with boutique practices. By doing so, we’ve missed the entire point of the discussion.
6 essentials to secure the best valuation for your firm
Mergers and acquisitions are at an all-time high in the wealth management industry. As CEO of a firm that’s actively acquiring, the questions we hear most often from firm owners focus on getting the best valuation possible for their firm. Here are six essentials I believe every seller should institute. 1. FOCUS ON GROWTH Valuation experts, consultants and investment bankers agree: Growth is by far the single most important driver of a firm’s value.
Developing a theoretical framework for persistent cannabis use among young adults with first episode psychosis
ORIGINAL ARTICLE Leslie Marino, Corresponding Author leslie.marino@nyspi.columbia.edu orcid.org/0000-0001-8257-710X Department of Psychiatry, New York State Psychiatric Institute, New York, New York, USA Department of Psychiatry, Columbia University Irving Medical Center, New York, New York, USA Correspondence Leslie Marino, 1051 Riverside Drive, Box 100, New York, NY 10032, USA. Email: leslie.marino@nyspi.columbia.edu Search for more papers by this author Samantha E.
When skewed super-OSJ priorities raise red flags for retirement plan advisers
Retirement plan-focused financial advisers have always been a natural fit for the super-office of supervisory jurisdiction model. The specialized nature and large scale of their practices mean that super-OSJs that understand the retirement plan advice space can add tremendous value by driving efficiencies and supporting best practices. Unfortunately, the current environment of industry consolidation presents serious risks for these advisers.
Why Plan Advisors Should Partner with Third-Party Financial Wellness Providers
By Rick Kent In recent years, company retirement plans have come to represent the last great hope for the majority of American workers to retire with dignity and financial security. Not surprisingly, therefore, content-rich and customized financial wellness resources for retirement plan participants are increasingly crucial in the eyes of regulators and plan sponsors.
How Retirement Plan Sponsors Can Manage Liability Risks and Promote Retirement Readiness
By Rick Kent Recently, I had an eye-opening meeting with a new client — a retirement plan sponsor — together with the plan's financial advisor in connection with a 401(k) plan the sponsor established many years ago. Two of the plan participants nearing retirement were considering a legal complaint against the sponsor and advisor. Their problem?
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