Posts in Transition Services.
Four P Words to Remember During the Breakaway and Transition Process

Among the most notable workplace trends in recent years has been the growing number of financial advisors seeking to break away and transition their careers. To many, the allure of joining a registered investment advisory (RIA) firm or launching a new RIA is the desire for greater independence and increased compensation.

Why Advisors Should Seek Specialized Counsel When Making a Business Transition

Much in the same way clients depend on your proven expertise to help meet their investment goals, advisors should seek and rely on the value that only specialized legal counsel can provide when mulling the transition to a new firm or the start of a new business.

Navigating a Successful Merger or Acquisition

Whether you are considering a merger, acquisition, asset purchase or some other type of business transaction involving a competitor or compatible business, the number of factors that must be considered can be overwhelming.

Starting Out: Mergers & Acquisitions (Part 2)

Once you have a good sense of whether a merger or acquisition is appropriate to your long-term needs, there are a number of next steps that you should take before making any sort of deal.

Starting Out: Mergers & Acquisitions (Part 1)

Adding a new company to your business portfolio can be the change that sparks massive growth for your business or triggers the decline of eventual financial ruin. Fortunately, with thorough research and guidance from experienced legal counsel, the risks of buying a company or merging your company with another company can be significantly reduced.

What to Know For Your Business Transition

Whether it's transitioning or breaking away, things like  legal risks, business factors, and  regulatory concerns, must be handled with care. Let our experienced team help.

Top 3 Considerations During the Breakaway & Transition Process

In recent years, there has been a considerable increase in the number of financial advisors who are looking to break-away and transition to careers with registered investment advisory firms (“RIAs”) or even launching their own RIA seeking more independence, control, growth opportunities, and increased compensation.

Succession Planning: Identifying a Successor 

In these unprecedented times of global pandemic and turbulent economy, having a succession plan for your firm is more important than ever.

5 Simple Guidelines for Navigating Form U5

By: Robert D. Conca, Esq., Partner Throughout any financial professional's career transitions are inevitable and an integral part of the transition is the filing of a Form U5. For those who are unaware, Form U5 is a formal documentation...

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