Work with our CFO Consultant to evaluate your current financial health and to set up the roadmap for success for your firm. Services include:
Registered representatives and investment adviser representatives have unique relationships with their employers. These industries are governed by complex rules that dictate much of the terms of employment, and where the parties are left to contract for themselves, they often do so using industry terms, regulations and metrics that require a detailed knowledge of industry laws, rules, standards, and practices. My RIA Lawyer represents both firms and individuals with respect to their contracts, including drafting and negotiation. We also handle disputes that arise when an employment relationship is strained, is coming to an end, or is terminated.
We routinely assist advisers with setting up their entity by providing the following services:
Starting your own RIA? Check out our comprehensive RIA registration services?
Are you departing a Protocol firm? We are well versed in Protocol and can help you understand the information you are entitled to take with you.
Don’t see what you need listed here? Don’t worry. Give us a call today and we’ll point you in the right direction.