Webinar Fact from Fiction What Buyers and Sellers Need to Know about Smaller Firm M&A


Webinar: Fact from Fiction: What Buyers and Sellers Need to Know about Smaller Firm M&A*

(*but were afraid to ask)


Thursday, October 23, 2014
4:00 – 5:15 p.m. (ET)

Topics Covered

Are you contemplating selling your advisory firm? Are you thinking about purchasing another advisory firm? Are you trying to assess other ownership transactions? This webinar will deal with issues relating to ownership transactions involving “smaller” investment advisory firms (generally, firms with $100 million to $1.5 billion AUM).

Webinar topics will include:

  • What sellers should do and expect in a transaction involving a smaller advisory firm
  • What buyers demand and expect
  • Handling reality vs. expectations in the post-transaction world
  • Observations and information about valuation and pricing of deals

Participants are encouraged to submit questions in writing prior to the webinar. Please email any questions to Lisa Gillette, Director of Meetings and Events, no later than COB on Friday, October 17: lisa.gillette@investmentadviser.org.


  • Richard H. Adler, Founder, Red Arrow Capital
  • Benjamin J. Robins, Partner, Fiduciary Network, LLC
  • Jane Williams, Chair and Co-founder, Sand Hill Global Advisors

Register Today

Registration for the live event has closed, but the recording can still be purchased by selecting the "Register Now" link on this page.

Live Recording Both
Members and Associate Members $125* $125 $200
Non-Members $200* $200 $375
*Per computer login


For questions regarding this webinar, call (202) 293-4222 or email IAAevents@investmentadviser.org.

About the Presenters

Richard H. Adler is the founder of Red Arrow Capital, a strategic consulting practice serving investment and wealth management firms. He has two decades of experience successfully investing in, and managing, investment management firms —navigating multiple market downturns, financial crises, and CEO transitions. Previously, Mr. Adler was CEO and President of Convergent Capital Management (CCM), a multi-affiliate boutique investment management firm he co-founded in 1995. He has a B.A. in Sociology & Psychology from the University of Michigan and an M.B.A. in Finance from Indiana University.

Benjamin J. Robins is a Partner at Fiduciary Network, LLC, a private investment firm that provides financing to fee-only wealth management firms for, among other things, succession planning arrangements and M&A transactions. To date, FN has completed 15 transactions with advisory firms managing, in aggregate, in excess of $15 billion. Prior to joining FN, Mr. Robins worked as an attorney at Boston-based Ropes & Gray, LLP, where he focused on private equity mergers and acquisitions. He graduated magna cum laude from Cornell University and earned his law degree from New York University School of Law, where he was an associate editor of the New York University Law Review.

Jane Williams is the Chair and Co-founder of Sand Hill Global Advisors. In this role, she advances the business development goals and advises on the strategic direction of the firm. She serves on the Executive Committee and is responsible for the oversight of Sand Hill’s compliance function. Ms. Williams participates with industry panels and organizations on topics of best business practices. She is a member of the Fidelity Investment Advisors’ Council. Prior to co-founding Sand Hill Global Advisors, Ms. Williams was a broker with Merrill Lynch in Canada and then in California. She holds a BS in Economics from Boston University where she was a member of the Economics Honor Society.


Registration Cancellation or Substitution

For the live webinar, cancellations and substitutions must be received in writing no later than 5:00 p.m. (ET) Tuesday, October 21, 2014. There are no refunds for cancellations received after this date. Email your requests to lisa.gillette@investmentadviser.org.