Category: Brightstar Law Group

Who should serve as CCO of your advisory firm?

WHO SHOULD SERVE AS CCO OF YOUR RIA?

Components of an Investment Adviser Compliance Program

What is an RIA compliance program?

COMMON MISTAKES WE SEE IN INVESTMENT ADVISORY CLIENT AGREEMENTS AND WHY THEY CAN COST A FIRM DEARLY

Top Mistakes Seen in RIA Investment Advisory Agreements

Corporate Transparency Act

What must RIAs do to Comply with the Corporate Transparency Act

What Must Investment Advisers Know About Selling Minority Stakes in Their Firms to Avoid Bad Outcomes?

How can RIAs Avoid Mistakes when Selling a Minority Ownership in Their Firms?

equity compensation

How Can RIAs Attract and Retain Key Employees Using Equity Compensation Tools?

hybrid RIA

What Are the Opportunities and Risks Associated With Operating a Hybrid RIA?

mergers and acquisitions

A Roadmap for Selling an RIA or Buying an RIA

reforms for private fund advisers

SEC Adopts Sweeping Reforms for Private Fund Advisers

common hiring mistakes

5 Costly RIA Hiring Mistakes

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