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How To Start An RIA: Step-by-Step Guide, Costs & Legal Considerations

Michelle Atlas-Quinn, J.D.

As Vice President of RIA Operations, Michelle Atlas-Quinn, J.D., is an accomplished legal professional who is dedicated to helping our clients navigate the complex regulatory environment with confidence. Michelle brings a rare combination of legal acumen and extensive industry experience, having previously worked as a licensed attorney and a FINRA-licensed securities principal. This dual perspective provides a deep, practical understanding of compliance, regulatory matters, and risk management within the wealth management sector. Her focus is on translating complex legal requirements into clear operational strategies, providing our RIA clients with top-tier support and guidance. Michelle earned her Juris Doctorate from the University of Denver Sturm College of Law and holds a Bachelor of Arts in Philosophy from the University of Colorado.

Acquiring an existing financial planning practice is one of the fastest ways to scale your asset base, expand your geographic footprint, and bring on new talent. However, a practice acquisition can quickly turn into a compliance and financial nightmare if you inherit hidden regulatory liabilities, misaligned client expectations, or an inaccurate valuation.

To make sure that your next growth move is built on solid ground, compliance attorney Michelle Atlas-Quinn, J.D., from AdvisorLaw, teamed up with the Financial Experts Network. This intensive continuing education (CE) course provides a comprehensive roadmap through the critical due diligence process required for a seamless wealth management acquisition.

Whether you are actively vetting a target firm or just beginning to explore the M&A market, you can watch the full on-demand replay below.

Watch the On-Demand Webinar

The Core M&A Pillars for Financial Advisors

Strategic Compatibility: Evaluating whether the target firm’s investment philosophy, tech stack, and company culture align with your existing operational structure.
Rigorous Financial Vetting: Dissecting profit margins, revenue stability (recurring vs. transactional), and conducting an objective, independent valuation.
Compliance Risk Assessment: Auditing the target firm’s past regulatory disclosures, client complaints, and historical ADV filings to avoid inheriting legal liabilities.
Structured Transition Planning: Designing a clear timeline for client re-papering, data migration, and staff integration to prevent asset attrition.

Key Takeaways: Mastering the Advisor Acquisition Process

During the presentation, Michelle and Matt break down the due diligence phase into actionable steps that safeguard your investment and maximize ROI.

1. Analyzing the Target Financials & Valuation

Not all revenue is created equal. The webinar highlights how to look beyond top-line AUM to analyze the underlying health of the practice. Discover how to evaluate fee structures, identify concentrations of revenue risk (e.g., a few ultra-high-net-worth clients dominating the book), and establish a fair, market-driven valuation that protects your capital.

2. Vetting the Client Base & Cultural Fit

A successful acquisition relies entirely on client retention post-sale. Michelle and Matt discuss how to audit the target firm’s client demographics, average account sizes, and communication histories. Understanding how the clients are used to being treated ensures you can maintain continuity and prevent them from moving their assets during the transition.

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3. Legal Protection and Transition Architecture

From negotiating the initial letter of intent (LOI) to drafting the final buy-sell agreement, the legal framework of your deal dictates your level of risk. The webinar outlines best practices for structuring non-compete clauses, earn-out provisions tied to retention, and seamless client onboarding protocols that keep state and federal regulators satisfied.

Protect Your Growth Strategy

Buying a practice is an elite strategy for expanding your legacy, but the operational and legal complexities require specialized oversight. Don't rely on generic business templates when dealing with highly regulated financial entities and critical client data.

AdvisorLaw's dedicated M&A and compliance teams can help you audit target firms, structure watertight agreements, and make sure that your integration goes off without a hitch.

Ready to evaluate a potential acquisition or protect your firm during an M&A transition? Connect with the experts at AdvisorLaw today to streamline your practice.

Engage with our experts today!

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