Dynasty Investment Bank Debuts Their First-of-its-Kind Investment Banking Primer for the Wealth Management Industry

Illustrating Dynasty’s 15-Year Commitment to Educating and Advocating for Independent Financial Advisors

Dynasty Financial Partners, a champion of the independent advisory movement, today debuted their first-of-its-kind Investment Banking Primer for the wealth management industry. Developed and produced by Dynasty Investment Bank, this introductory resource outlines fundamental principles and practices of investment banking, a discipline increasingly prevalent in an industry undergoing record merger and acquisition, investment, and succession activity.

As the independent registered investment advisor (RIA) space transforms from a cottage offshoot into one of the fastest growing segments in the wealth management industry, firms are increasingly in need of sophisticated investment banking advisory services and offerings. In its 2024 Industry Report, Cerulli revealed that the combined hybrid and independent RIA channel represented a 10-year CAGR of almost 9%, which is more than 5x the growth of retail bank broker dealers and almost 7x the growth of national and regional broker dealers. Further, minority investment capital has been flowing into the RIA space in droves, growing at a 45% CAGR over the past 5 years.

“M&A and investments into RIAs are occurring more than ever before,” said Sam Anderson, Co-head of Dynasty Investment Bank. “For those RIAs seeking to sell or grow, or secure a transformative investment, there is a lack of resources offering the level of guidance and education necessary to consider that first step. We listened to our clients and others in the industry and compiled a comprehensive guide that we hope will provide clarity and serve as a good starting point for discussions around the future of their businesses.”

Adding more fuel to the wealth management M&A fire is the fact that according to Cerulli, in the RIA segment, 37% of all advisors are seeking to exit the industry over the next 10 years. “For some, that is a $3 trillion problem,” said Harris Baltch, co-Head of Dynasty Investment Bank. “But in our view, that is a $3 trillion opportunity. These headwinds present the largest secular money in motion opportunity the industry has ever experienced, which is why so much M&A and advisor recruiting is taking place. And, in addition to an advisor shortage, there is a human capital shortage to support advisors, which is why an M&A deal is many times not just about the advisors and their clients, but also about the talent that comes with it to help provide further scale and support to buyers.”

With Anderson and Baltch at the helm, Dynasty Investment Bank advised on 15 M&A and capital-raising deals in 2024, which included cross-border public company M&A, domestic sell-side transactions, strategic recapitalizations, valuations, and capital-raising mandates. Officially launched in 2023, Dynasty Investment Bank provides specialized services to both wealth management and asset management firms, including merger and acquisition advice and execution to both buyers and sellers, capital underwriting, valuations, and succession planning.

Primers & Practicums

In keeping with the thoughtful approach to education that Dynasty Financial Partners employs, development of the Investment Banking Primer initiated organically from discussions with firms in the industry. In the second quarter of 2024, the investment banking team’s quarterly newsletter featured an article about the importance of building effective pitchbooks for those RIAs exploring M&A or undergoing succession planning. The piece generated so much interest that the team hosted its first-ever Dynasty Investment Bank Practicum in New York on the topic. This full-day workshop guided attending firms through all aspects of pitchbook development, including corporate messaging, defining investment philosophy and recruiting priorities, etc., and was so successful that the team is planning a second Practicum in 2025 on an equally relevant and requested topic. The new Investment Banking Primer is borne from the team’s continued commitment to educating and advising RIAs in independence.

For over 15 years, Dynasty Financial Partners has advocated for independent financial advisors with unique content designed to empower their journey. Beginning with the original ‘Road to Independence’ infographic, to the ‘Dynasty Triangulation of Advice’ infographic that makes the case for transparency, alignment, and personalization, Dynasty has consistently provided financial advisors with the education and advice to succeed.

“I am extremely proud of our investment banking team at Dynasty and appreciate all of the clients who have entrusted us to represent them,” said Shirl Penney, Founder and CEO of Dynasty Financial Partners. “We have built one of the most comprehensive offerings in the space allowing for support on both the buy and sell side, recapitalizations, sales, valuation work, and capital raising. The strength of our balance sheet gives us tremendous flexibility in facilitating transactions for our clients and our transition and RIA service team are often great resources to help with onboarding. I could not be more excited about Dynasty Investment Bank and its ability to help reshape the evolving independent wealth space.”

Dynasty is one of the top liberators in the wealth management industry, helping advisors gain their independence while supporting them with tools to better grow their businesses and take better care of their clients. Dynasty’s network consists mostly of clients who own and operate independent registered investment advisories (RIAs) that leverage Dynasty’s integrated technology, services, robust turnkey asset management program (TAMP), digital lead generation services, capital solutions, and investment bank. This high-end, integrated RIA platform model provides synthetic scale and allows Dynasty-powered RIAs to be Independent But Not Alone^TM. Currently, Dynasty has 55 Network Partner firms representing over 500 advisors and over $105 billion in platform assets.

Dynasty Investment Bank produces a quarterly newsletter, ‘Inside the Deal,’ which analyzes key industry trends, statistics, and deals. To read the latest issue and access previous editions, click here. In addition, the team regularly hosts webinars on compelling industry topics. Click here to subscribe.

To learn more about the Investment Banking Primer: https://secure.dynastyfinancialpartners.com/dynasty-investment-banking-fundamentals-in-wealth-management

About Dynasty Investment Bank

Dynasty Investment Bank is a leading investment bank dedicated to serving the asset and wealth management industry and is provided through Dynasty Securities, LLC, a broker-dealer, member FINRA/SIPC. Our firm specializes in buy-and sell-side M&A, succession planning strategies, strategic advisory services, valuations, and providing flexible capital solutions to help firms achieve their strategic objectives. As an affiliate of Dynasty Financial Partners, a premier wealth management technology middle and back-office service provider to over $100 billion in assets under administration across the US, our investment banking team leverages the synthetic scale to provide our clients with unique market perspectives and deliver high quality execution.

About Dynasty

Dynasty is a provider of technology-enabled wealth management solutions and business services for financial advisory firms primarily focused on serving high net worth and ultra-high net worth clients. Dynasty provides access to a comprehensive platform of software and technology tools, business services, and holistic investment management capabilities through an open-architecture platform delivered via a suite of proprietary and third-party technologies. Dynasty’s technology, tools, and services provide advisory firms the supported independence to launch their business, scale their operations, and grow their firms — both organically and inorganically — while also allowing them to be more focused on and better equipped to serve their clients.

For nearly a decade and a half, Dynasty has championed the benefits of independent wealth management for high net worth and ultra-high net worth clients and has contributed to the movement of assets from traditional brokerage channels to the independent channels of wealth management. A recognized industry leader, Dynasty has differentiated itself by developing competitive strengths, including a deep understanding of and strong relationship with its clients; a comprehensive offering of services and technology-enabled solutions; the ability to leverage its size and breadth to invest; the flexibility and seamlessness enabled by a modular technology solution; an entrepreneurial culture; and an experienced and committed management team. Dynasty is committed to continually growing its business by facilitating existing advisory firm clients’ growth, onboarding new clients, increasing clients’ use of its broader capabilities, launching additional solutions, and facilitating complementary acquisitions.

For more information, please visit www.dynastyfinancialpartners.com and www.dynastyinvestmentbank.com

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Twitter: @DynastyFP

Disclosure: Dynasty’s wholly owned subsidiary Dynasty Securities LLC (“Dynasty Securities”) is a U.S. registered broker-dealer and member FINRA/SIPC. All security related transactions are through Dynasty Securities. Dynasty securities does not hold customer securities or customer funds.

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