General Counsel Services


We work with RIA firms through every stage of development of their business – from working with break-away brokers on their transition to independence, to creating, designing and structuring new firms and platforms through our strategy sessions and legal implementation, to helping RIA firms grow via deals to add new advisors (including dealing with their employment transition issues) and mergers and acquisitions to assisting with exit deals and succession planning implementation advice and services.

Our attorney team will help you stay in front of the myriad of issues facing the broker-dealer and registered investment advisor industry today and be there to maximize outcomes in the increasingly complex environment of regulatory issues and litigation. In addition to providing regulatory and compliance advice, we also assist clients in preparing for and responding to Securities and Exchange Commission (SEC), Financial Industry Regulatory Authority (FINRA,) and stock exchange document requests, examinations, inquiries, and enforcement proceedings. Key areas in which we assist broker-dealers and RIAs include:

Our Services

We provide general counsel services tailored to each client’s needs. As outside general counsel, we can coordinate and oversee, among other things:

  • General business, day-to-day legal, and compliance issues
  • Corporate governance matters
    • Participation in board meetings and drafting minutes
    • Advice on officer and director fiduciary duties and exposure to claims
    • Drafting and administration of equity plans
    • Preparation of corporate governance documents
  • Executive issues and compensation
  • Contract drafting, review, and negotiation
    • Software, technology, and license agreements
    • Non-compete, trade secret, non-disclosure, and non-solicitation agreements
    • Employment agreements
    • Contract research and development agreements, clinical trial agreements, and product commercialization agreements
    • Professional services agreements
    • Development or outsourcing agreements
    • Financing agreements
    • Vendor and services agreements
    • Leases
    • Other commercial contracts
  • Employment and human resource matters
    • Employee hiring, retention, and termination
    • Employee handbooks
    • Workplace training
  • Mergers and acquisitions (support and implementation)
  • Privacy and data security (including emergency response and preparedness)
  • Risk management, arbitration, mediation, and litigation
  • Supervision or evaluation of local or special counsel
  • Special projects

Request a Consultation

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