Secure Your Strategic
Practice Migration
Navigating The Broker Protocol & Beyond
Secure Your Strategic Practice Migration
Secure Your Strategic Practice Migration
Navigating The Broker
Protocol & Beyond
Navigating The Broker Protocol
& Beyond
Navigating The Broker Protocol
& Beyond
Blueprint For Independence
Blueprint For Independence
Blueprint For Independence
Are you ready to break away from the wirehouse but concerned about the legal "tripwires" waiting for you? AdvisorLaw does more than simply facilitate transitions—we develop a tailored and strategic roadmap to make your practice migration as seamless as possible.
- "What client information can I legally take?" We guide you through the "5 pieces of data" rule to ensure compliance.
- "How do I resign from a non-protocol firm?" We build a "black box" strategy to help you defend against immediate TRO (temporary restraining order) filings.
- "Will my firm sue me for soliciting clients?" We review your employment agreement to find the best path for client outreach.
Are you ready to break away from the wirehouse but concerned about the legal "tripwires" waiting for you? AdvisorLaw does more than simply facilitate transitions—we develop a tailored and strategic roadmap to make your practice migration as seamless as possible.
What client information
can I legally take?
We guide you through the
"5 pieces of data" rule to maintain compliance.
What client information
can I legally take?
We guide you through the
"5 pieces of data" rule to ensure compliance.
What client information
can I legally take?
We guide you through the
"5 pieces of data" rule to ensure compliance.
How do I resign from a non-protocol firm?
We build a "black box" strategy to help you defend against immediate TRO (temporary restraining order) filings.
How do I resign from a non-protocol firm?
We build a "black box" strategy to help you defend against immediate TRO (temporary restraining order) filings.
How do I resign from a non-protocol firm?
We build a "black box" strategy to help you defend against immediate TRO (temporary restraining order) filings.
Will my firm sue me for soliciting clients?
We review your employment agreement to find the best path for client outreach.
What Our Clients Say
What Our
Clients Say
What Our
Clients Say
"Best Decision Ever! My choice to hire AdvisorLaw was, without a doubt, the best career choice that I have ever made. The team is stacked with powerful, relentless, intelligent, and compassionate professionals. Thank you, AdvisorLaw, for giving my career the turbocharge that I never knew it could get!!"
- Bruce Kriens⭐⭐⭐⭐⭐
"AdvisorLaw has been diligent in helping us through our compliance. They have a good process and they follow up regularly. Our entire team is very much in tune with the compliance requirements. I recommend them highly to fellow RIAs."
- Raj Rajendran ⭐⭐⭐⭐⭐
"Have worked in detail with the team of Erika and Wren to create and file ADVs. Doc Kennedy has supported along the way on legal issues. Great firm to work with, would highly recommend them for any advisor drafting documents or needing ongoing compliance support."
- Shane Farina ⭐⭐⭐⭐⭐
"Michelle Atlas-Quinn at Advisor Law is an extremely talented Attorney. I consider her my "Corporate Guardian Angel"
- Brad Tiche⭐⭐⭐⭐⭐
"Advisor Law knew exactly what needed to be done...I've recommended the firm to several former colleagues... and wd do so again...many thanks to you all."
- John Brewer⭐⭐⭐⭐⭐
"Advisor Law has been a great resource and advocate for me as a professional. Through countless conversations and a successful engagement, they have acted as true professionals delivering perfect results along the way. Thank you!"
- Travis Jeffrey⭐⭐⭐⭐⭐
"Very professional. Everyone called when they said they would call. There was plently of follow up and follow through. Effective communication made this very easy for me! Thank you!"
- Lisa Murray⭐⭐⭐⭐⭐
"The team at Advisor Law is great!"
- Kevin Pentz⭐⭐⭐⭐⭐
What Our Clients Say
What Our
Clients Say
What Our
Clients Say
"Best Decision Ever! My choice to hire AdvisorLaw was, without a doubt, the best career choice that I have ever made. The team is stacked with powerful, relentless, intelligent, and compassionate professionals. Thank you, AdvisorLaw, for giving my career the turbocharge that I never knew it could get!!"
- Bruce Kriens⭐⭐⭐⭐⭐
"AdvisorLaw has been diligent in helping us through our compliance. They have a good process and they follow up regularly. Our entire team is very much in tune with the compliance requirements. I recommend them highly to fellow RIAs."
- Raj Rajendran ⭐⭐⭐⭐⭐
"Have worked in detail with the team of Erika and Wren to create and file ADVs. Doc Kennedy has supported along the way on legal issues. Great firm to work with, would highly recommend them for any advisor drafting documents or needing ongoing compliance support."
- Shane Farina ⭐⭐⭐⭐⭐
"Michelle Atlas-Quinn at Advisor Law is an extremely talented Attorney. I consider her my "Corporate Guardian Angel"
- Brad Tiche⭐⭐⭐⭐⭐
"Advisor Law knew exactly what needed to be done...I've recommended the firm to several former colleagues... and wd do so again...many thanks to you all."
- John Brewer⭐⭐⭐⭐⭐
"Advisor Law has been a great resource and advocate for me as a professional. Through countless conversations and a successful engagement, they have acted as true professionals delivering perfect results along the way. Thank you!"
- Travis Jeffrey⭐⭐⭐⭐⭐
"Very professional. Everyone called when they said they would call. There was plently of follow up and follow through. Effective communication made this very easy for me! Thank you!"
- Lisa Murray⭐⭐⭐⭐⭐
"The team at Advisor Law is great!"
- Kevin Pentz⭐⭐⭐⭐⭐
Strategic RIA
Establishment
& Growth
Strategic RIA Establishment & Growth
Strategic RIA
Establishment & Growth
Strategic RIA
Establishment & Growth
AdvisorLaw offers tailored ongoing regulatory compliance solutions for both SEC and state-registered RIAs. Our seasoned team of attorneys and specialists navigates the complex regulatory landscape for you, providing proactive strategies to minimize business risk and maintain optimal compliance.
Whether you need fundamental support or extensive compliance management, we tailor our services to your firm's unique demands. Enhance your operations with AdvisorLaw's Nexus Enterprise Platform, which centralizes crucial compliance tasks into one streamlined system. Nexus automates workflows and furnishes vital insights, enabling RIAs to concentrate on delivering top-tier client service while adhering to regulatory standards.
AdvisorLaw offers tailored ongoing regulatory compliance solutions for both SEC and state-registered RIAs. Our seasoned team of attorneys and specialists navigates the complex regulatory landscape for you, providing proactive strategies to minimize business risk and maintain optimal compliance.
Whether you need fundamental support or extensive compliance management, we tailor our services to your firm's unique demands. Enhance your operations with AdvisorLaw's Nexus Enterprise Platform, which centralizes crucial compliance tasks into one streamlined system. Nexus automates workflows and furnishes vital insights, enabling RIAs to concentrate on delivering top-tier client service while adhering to regulatory standards.
Launching your own firm is the ultimate goal, but the cost of registering an RIA and the complexity of SEC vs. state registration can be daunting. Our Launch service provides a turnkey solution:
Launching your own firm is the ultimate goal, but the cost of registering an RIA and the complexity of SEC vs. state registration can be daunting. Our Launch service provides a turnkey solution:
- RIA Infrastructure: From your Form ADV, to your written succession plan, we build the foundation.
- Maximizing Valuation: We help you clean your CRD record by removing defamatory U5 language or meritless disclosures so that your new venture hits its peak practice valuation.
- Tax & Revenue Modeling: We provide analysis of RIA tax implications and the "revenue math" of moving, from a payout grid, to a 100% independent model.
Break Away Safely | Expert navigation of The Broker Protocol provisions |
Manage Debt | Aggressive, upfront note negotiation and defense against promissory note arbitrations |
Acquire Or Sell | Due diligence and legal drafting for buying a retiring advisor’s book or seeking M&A lending |
Secure Registration | Full-service IAR registration and compliance program design |
- RIA Infrastructure: From your Form ADV, to your written succession plan, we build the foundation.
- Maximizing Valuation: We help you clean your CRD record by removing defamatory U5 language or meritless disclosures so that your new venture hits its peak practice valuation.
- Tax & Revenue Modeling: We provide analysis of RIA tax implications and the "revenue math" of moving, from a payout grid, to a 100% independent model.
Break Away Safely | Expert navigation of The Broker Protocol provisions |
Manage Debt | Aggressive, upfront note negotiation and defense against promissory note arbitrations |
Acquire Or Sell | Due diligence and legal drafting for buying a retiring advisor’s book or seeking M&A lending |
Secure Registration | Full-service IAR registration and compliance program design |
Launching your own firm is the ultimate goal, but the cost of registering an RIA and the complexity of SEC vs. state registration can be daunting. Our Launch service provides a turnkey solution:
- RIA Infrastructure: From your Form ADV, to your written succession plan, we build the foundation.
- Maximizing Valuation: We help you clean your CRD record by removing defamatory U5 language or meritless disclosures so that your new venture hits its peak practice valuation.
- Tax & Revenue Modeling: We provide analysis of RIA tax implications and the "revenue math" of moving, from a payout grid, to a 100% independent model.
Break Away Safely | Expert navigation of The Broker Protocol provisions |
Manage Debt | Aggressive, upfront note negotiation and defense against promissory note arbitrations |
Acquire Or Sell | Due diligence and legal drafting for buying a retiring advisor’s book or seeking M&A lending |
Secure Registration | Full-service IAR registration and compliance program design |
AdvisorLaw offers tailored, flat-rate, ongoing regulatory compliance solutions for both SEC and state-registered RIAs. Our seasoned team of attorneys and specialists navigates the complex regulatory landscape for you, providing proactive strategies to minimize business risk and maintain optimal compliance.
Launching your own firm is the ultimate goal, but the cost of registering an RIA and the complexity of SEC vs. state registration can be daunting. Our Launch service provides a turnkey solution:
- RIA Infrastructure: From your Form ADV, to your written succession plan, we build the foundation.
- Maximizing Valuation: We help you clean your CRD record by removing defamatory U5 language or meritless disclosures so that your new venture hits its peak practice valuation.
- Tax & Revenue Modeling: We provide analysis of RIA tax implications and the "revenue math" of moving, from a payout grid, to a 100% independent model.
Break Away Safely | Expert navigation of The Broker Protocol provisions |
Manage Debt | Aggressive, upfront note negotiation and defense against promissory note arbitrations |
Acquire Or Sell | Due diligence and legal drafting for buying a retiring advisor’s book or seeking M&A lending |
Secure Registration | Full-service IAR registration and compliance program design |
Our Experts
Enhance your operations with AdvisorLaw's Nexus enterprise platform, which centralizes crucial compliance tasks into one streamlined system. Nexus automates workflows and furnishes vital insights, enabling RIAs to concentrate on delivering top-tier client service while adhering to regulatory standards.
Meet Your Experts
Meet Your Experts
Noah Baum
Executive Assistant
Amy Luna
Account Development
Representative
Kelly Myers
Compliance Analyst
Ainsley Norman
Nexus Specialist
Chris Sheppard
Compliance Analyst
Meet Your Experts
Meet Your Experts
Noah Baum
Executive Assistant
Amy Luna
Account
Development
Representative
Kelly Myers
Compliance Analyst
Chris Sheppard
Compliance Analyst
AdvisorLaw Wins $295K For Ameriprise Advisor In Succession Contract Battle
FINRA Panel Grants Advisor Expungement Tied to Covid-Impacted Investment
Did your RIA representatives miss the new IAR CE deadline?
FINRA Panel Grants Customer Dispute Expungement For Maryland Advisor
FINRA Panel Grants Expungements Of Groundless Forgery Allegation
Frequently Asked Questions
Frequently Asked Questions
Frequently Asked Questions
Deciphering today’s ultra-complex regulatory landscape while focusing on business development can be daunting. Let AdvisorLaw alleviate your risk with our expert compliance team serving as your dedicated OCCO. With an average of over 20 years in the industry, our professionals provide meticulous compliance oversight—from document reviews to drafting filings, to handling regulatory exams.
Don’t blow your budget by incurring the hiring, payroll, and benefits needed for an in-house employee. Take advantage of those significant cost savings with our predictable monthly fee, allowing you to dedicate your efforts to what you do best: building client relationships and managing wealth. Partner with AdvisorLaw to elevate your peace of mind and get back to chasing your firm’s full potential.
Generally, no. Pre-solicitation is a leading cause of litigation. We help you draft a transition strategy and a "day-one" outreach plan that remains compliant with your specific contract.
Negative marks can delay state or SEC approval and lower your practice's valuation. We specialize in expungement and disclosure repair to clear the path for your new registration.
AdvisorLaw Wins $295K For Ameriprise Advisor In Succession Contract Battle
FINRA Panel Grants Advisor Expungement Tied to Covid-Impacted Investment
Did your RIA representatives miss the new IAR CE deadline?
FINRA Panel Grants Customer Dispute Expungement For Maryland Advisor
FINRA Panel Grants Expungements Of Groundless Forgery Allegation
AdvisorLaw Wins $295K For Ameriprise Advisor In Succession Contract Battle
FINRA Panel Grants Advisor Expungement Tied to Covid-Impacted Investment
Did your RIA representatives miss the new IAR CE deadline?
FINRA Panel Grants Customer Dispute Expungement For Maryland Advisor
FINRA Panel Grants Expungements Of Groundless Forgery Allegation
Request a Private Consultation
Request a Private Consultation
Request a Private Consultation
Don't leave your transition to chance. Secure your book, your reputation, and your future.
Don't leave your transition to chance. Secure your book, your reputation, and your future.