Are you wearing multiple hats in your business? Are you overwhelmed managing risk, complying with your regulatory requirements and dealing with vendors and technology providers?
As a business owner, these are just some of this issues you may deal with on a day to day basis.
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. Learn more on the key areas in which we assist broker-dealers and RIAs below.
That means, if a regulator takes issue with any of our original work product, we will defend it FOR FREE.
Why are we offering you our services with no risk?
It’s really quite simple. First, we KNOW our documents meet and exceed regulatory standards.
But, we also realize you’re probably skeptical so we wanted to remove any hesitation or doubt you may have. Second, we trust you to be fair and not take advantage of us or our guarantee.
Ready to take the next step?