When moving upward, secure your next registration while protecting yourself and your clients.
Are you considering a move yet somewhat nervous about the legal implications of uprooting the business you built?
We can offer confidential services to help you conduct your due diligence and make sure that you are making the right decisions to protect yourself.
In addition, AdvisorLaw helps corporate recruiters evaluate their candidates when talking with advisors who have current or pending disclosures on their CRD. We can help those financial advisors to reduce or remove negative marks on their records that are weighing down their book valuations.
Whether you are changing wirehouses, going independent, becoming an RIA, or looking to buy or sell a financial practice, we have the expertise on staff to defend your interests and maximize your profit.
AdvisorLaw has consulted in the transitions for FAs with a combined total of $1 billion in annual production.
- Navigating through Broker Protocol and non-competes
- Ensuring the best representation in filing or defending TRO's
- Drafting of thorough succession plans
Valuation & Acquisition Lending
- Writing or negotiating buy-sell agreements to acquire new financial practices
- Establishment of an RIA
- Proper valuation of your business versus the industry
- Expert insight of an attorney
- RIA tax implications analysis
- Negotiation of repayment amounts and schedules
- Defense in arbitrations involving allegations of breached repayment duties
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