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The Startling Percentage of Financial Advisors with Misconduct Records
iStock Even as President Donald Trump and Republican leaders seem set on a course to weaken Obama-administration consumer protection regulations, a...
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  • March 2021
  • Case

P.F. Chang's
By: Ashish Nanda, Nitin Nohria and Margaret Cross
Excited yet apprehensive after being named CEO of P.F. Chang’s beginning July 1st, 2020, Damola Adamolekun was well aware of the extraordinary challenges facing the firm. The closure of businesses deemed “nonessential” owing to the Covid-19 pandemic had devastated the...  View Details
Keywords: Restaurants; Covid-19; Strategy; Scenario Planning; Scenarios
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  • December 2020
  • Case

XP: Dual Track Financing Alternatives
By: Marco Di Maggio, Pedro Levindo and Carla Larangeira
XP, an investment platform, was on the verge of defining whether to do an IPO or selling off a majority stake to Itaú Unibanco, Brazil´s largest financial conglomerate. Under the leadership of Guilherme Benchimol, XP´s co-founder and CEO, XP had risen to become the...  View Details
Keywords: Financing Decisions; Expansion; Decision Choices and Conditions; Latin America; Brazil
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  • November 2020 (Revised February 2021)
  • Case

Wes Hall and the BlackNorth Initiative
By: Shikhar Ghosh, Marilyn Morgan Westner and Reza Satchu
Wes Hall founded Kingsdale Advisors and built it into one of Canada’s leading shareholder services and advisory firms. Influenced by the Black Lives Matter (BLM) movement and a series of social injustices—specifically the death of George Floyd in police custody—Hall...  View Details
Keywords: Racism; Cultural Entrepreneurship; Social Entrepreneurship; Diversity; Race; Social Issues; Ethics; Canada; North America
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  • November–December 2019
  • Article

Pivoting Isn't Enough? Managing Strategic Reorientation in New Ventures
By: Rory McDonald and Cheng Gao
New ventures often experience deviations from their plans that oblige them to reorient in pursuit of better fit between their evolving products and their target customers. Yet research is largely silent on how managers explain such changes and justify their ventures in...  View Details
Keywords: Strategic Reorientation; Technology Entrepreneurship; Innovation; Product Development Processes; Organizational Adaptation; Qualitative Methods (general); Entrepreneurship; Technology; Organizational Change and Adaptation; Strategy; Innovation and Invention; Product Development; Communication Strategy
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  • August 2018
  • Case

Edward Jones: Implementing the Solutions Approach
By: David Collis and Ashley Hartman
In 2017 Edward Jones, the largest brokerage firm in the U.S., is deciding whether and how to implement a new "solutions" business model to replace its traditional "product" or "transactional" approach. Many of the required changes appeared to violate some of the...  View Details
Keywords: Strategy Formulation; Strategic Change; ＂brokerage Industry; ＂solutions Approach; Strategy Implementation; ＂usa,＂; Business Model Innovation; Change; Strategy; Business Model; Financial Services Industry; North and Central America; United States
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  • April 2018 (Revised March 2019)
  • Case

Tesla-SolarCity
By: E. Scott Mayfield and Emil N. Siriwardane
On June 21, 2016, Tesla Motors, Inc. announced its offer to acquire SolarCity, bringing CEO Elon Musk one step closer to completing his goal of moving the world from a hydrocarbon-based economy to a solar-electric one. Markets and analysts were mixed in their reaction...  View Details
Keywords: Tesla; Solarcity; Solar Power; Mergers and Acquisitions; Renewable Energy; Goals and Objectives; Finance
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  • April 2018 (Revised May 2018)
  • Case

Goldman Sachs: Making an Imprint in Impact Investing
By: Shawn Cole, Vikram S. Gandhi, Caitlin Reimers Brumme and Lynn Schenk
Goldman Sachs acquired Imprint Capital Advisors, a small firm that specialized in advising clients on environmental/social/governance (ESG) and impact investments. The founders sold Imprint with the belief that joining a global financial firm would help to scale impact...  View Details
Keywords: Impact Investing; Esg; Investment; Corporate Social Responsibility and Impact; Environmental Sustainability; Growth and Development Strategy; Acquisition; Integration
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  • March 2018 (Revised March 2018)
  • Teaching Note

OpenInvest
By: Boris Vallee and Caitlin Reimers Brumme
Founded by a team of hedge fund and NGO alumni, OpenInvest launched its platform in 2015 to enable retail investors to tailor their portfolio to their personal values in an automated way, for instance by screening out weapon manufacturers stocks or overweighting LGBTQ...  View Details
Keywords: Socially Responsible Investing; Investing For Impact; Robo-advisors; Investment; Values and Beliefs; Customization and Personalization; Technology; Financial Services Industry
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  • February 2018 (Revised August 2018)
  • Case

OpenInvest
By: Shawn Cole, Boris Vallée and Nicole Tempest Keller
Founded by a team of hedge fund and NGO alumni, OpenInvest launched its platform in 2015 to enable retail investors to tailor their portfolios to their personal values in an automated way, for instance by screening out weapons manufacturers stocks or overweighting...  View Details
Keywords: Fintech; Impact Investing; Investment Portfolio; Customization and Personalization; Technological Innovation; Social Issues; Growth and Development Strategy; Business Model; Financial Services Industry
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  • December 2016
  • Article

Deal Process Design in Management Buyouts
By: Guhan Subramanian
Management buyouts (MBOs) are an economically and legally significant class of transaction: not only do they account for more than $10 billion in deal volume per year, on average, but they also play an important role in defining the relationship between inside and...  View Details
Keywords: Management Buyout; Deal Structuring; Acquisition; Design; Fairness
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  • June 2014 (Revised January 2017)
  • Case

Focus Financial Partners and the U.S. RIA Industry in 2014
By: Luis Viceira and Emily A. Chien
In the Spring of 2014, Rudy Adolf, CEO and founder of Focus Financial, and the two other co-founders of the firm are considering alternative growth strategies to solidify Focus Financial's position as a leading aggregator of independent wealth management firms in the...  View Details
Keywords: Financial Management; Growth and Development Strategy; Business Model; Financial Services Industry
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  • January 2013
  • Case

Zappos.com 2009: Clothing, Customer Service, and Company Culture (MM)
By: Frances X. Frei and Robin J. Ely
On July 17, 2009, Zappos.com, a privately-held online retailer of shoes, clothing, and other soft-line retail categories, learned that Amazon.com, a $19 billion multinational online retailer, had won its Board of Directors' approval to offer to merge the two companies....  View Details
Keywords: Customer Relationship Management; Online Technology; Mergers and Acquisitions; Organizational Culture; Growth and Development Strategy; Apparel and Accessories Industry; Retail Industry
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  • January 2012 (Revised March 2012)
  • Case

Dimensional Fund Advisors (DFA)'s Entry into the Retirement Market
By: Lauren Cohen and Christopher Malloy
This case examines Dimensional Fund Advisors (DFA)'s decision to enter the retirement market with their new "Dimensional Managed DC" product, a complete retirement solution that aimed to provide investors with what they really wanted: the same standard of living in...  View Details
Keywords: Retirement; Asset Management
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  • January 2010
  • Case

Five and Six Dulles Station
By: Arthur I Segel
Cricket Real Estate Advisors needs to decide if they should invest in a proposed joint venture development with Buddy Holly & Associates. Holly is a successful northern Virginia office developer who plans to develop two buildings containing 232,750 rentable square...  View Details
Keywords: Valuation; Joint Ventures; Markets; Accounting Audits; International Finance; Agreements and Arrangements; Change; Strategic Planning; Management Analysis, Tools, and Techniques; Financial Management; Real Estate Industry
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  • October 2009 (Revised June 2011)
  • Case

Zappos.com 2009: Clothing, Customer Service, and Company Culture
By: Frances X. Frei, Robin J. Ely and Laura Winig
On July 17, 2009, Zappos.com, a privately held online retailer of shoes, clothing, and other soft line retail categories, learned that Amazon.com, a $19 billion multinational online retailer, had won its board of directors' approval to offer to merge the two companies....  View Details
Keywords: Mergers and Acquisitions; Customer Focus and Relationships; Decision Choices and Conditions; Governing and Advisory Boards; Service Delivery; Organizational Culture; Online Technology; Valuation; Apparel and Accessories Industry; Retail Industry
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  • March 2007 (Revised March 2012)
  • Case

Edward Jones in 2006: Confronting Success
By: David J. Collis and Troy Smith
When Jim Weddle took over as Managing Partner of Edward Jones in January 2006, the brokerage firm was at a critical juncture. The firm's distinctive strategy had enabled it to grow from its roots in small-town America to become the 4th largest broker in the U.S. Weddle...  View Details
Keywords: Decision Choices and Conditions; Goals and Objectives; Growth and Development Strategy; Performance; Competitive Advantage; Financial Services Industry; United States
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  • February 2001 (Revised April 2001)
  • Background Note

Note on Valuing Private Businesses
By: Dwight B. Crane and Indra Reinbergs
This case provides a brief overview of valuation for owners of closely held companies. The focus is on a comparable transactions approach, although rules of thumb and discounted cash flow are mentioned. Earnings multiples and their drivers are discussed. It uses...  View Details
Keywords: Earnings Management; Finance; Cash Flow; Data and Data Sets; Private Ownership; Valuation
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  • March 1991 (Revised May 1991)
  • Case

Charles Schwab: Financial Advisors Service
By: Steven C. Wheelwright
Keywords: Product Development; Innovation and Invention; Financial Services Industry
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  • Teaching Interest

Founders' Dilemmas
By: Jeffrey F. Rayport

This course is for students who plan to become involved in new ventures, now or at mid-career, as founders of a new venture, early hires, early advisors, or board members, or as potential investors (e.g., VCs), customers, partners, or acquirers of new venturesView Details

  • Teaching Interest

Investing: Risk, Return and Impact (MBA)
By: Shawn A. Cole

This is an investing/finance course, designed to build on skills introduced in the RC finance course, but with an emphasis on how and whether investors should incorporate what have traditionally been considered “non-financial” criteria in their decisions: for...  View Details

Are you looking for?

The Startling Percentage of Financial Advisors with Misconduct Records
iStock Even as President Donald Trump and Republican leaders seem set on a course to weaken Obama-administration consumer protection regulations, a...
→ Search All HBS Web