Category: Investment Advisors

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?

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