Category: Investment Advisers

A Roadmap for Successful RIA Succession Planning

A Roadmap for Successful RIA Succession Planning

A Guide to Understanding RIA Buy-Sell Agreements

A Guide to Understanding RIA Buy-Sell Agreements

Three Issues in RIA Vendor Contracts That Could Be Costly for the Adviser

Three Issues in RIA Vendor Contracts That Could Be Costly for the Advisor

7 Common Mistakes RIAs Make When Preparing Employment Agreements

7 Common Mistakes RIAs Make When Preparing Employment Agreements

What Should RIAs do When Terminating an Employee to Minimize the Risk of a Lawsuit?

What Should RIAs do When Terminating an Employee to Minimize the Risk of a Lawsuit?

What is an SEC Exam and What Does It Mean for RIAs?

What is an SEC Exam and What Does it Mean for RIAs?

How Can RIAs Best Prepare for an SEC Exam?

How Can RIAs Best Prepare for an SEC Exam?

Six Key Legal Steps to Start an RIA and Why They’re Important

Six Key Legal Steps to Start an RIA and Why They’re Important

Why Should RIAs Hire a Law Firm for Their Compliance Needs?

Why Should RIAs Hire a Law Firm for Their Compliance Needs?

Common Misconceptions About a Broker Protocol Transition That Can Be Harmful

What are the Biggest Misconceptions About a Broker Protocol Transition?