Tag: Brightstar Law Group

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?

Legal Landmines for Transitioning to Independence

HOW CAN ADVISORS EFFECTIVELY NAVIGATE THE LEGAL LANDMINES ASSOCIATED WITH MAKING A TRANSITION TO INDEPENDENCE?

Selling RIA

What’s My RIA Worth and How Can I Maximize Value When Selling My RIA?

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

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