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Transitioning Advisors


Legal risks.  Business Factors. Regulatory Considerations.  Navigating through these and other issues is challenging, particularly as financial professionals transition from one firm to either form their own firm or merge with another team, acquire a practice or sell their book of business.  The attorneys at the Jacko Law Group, PC (“JLG”) focus on transition services and are ready to provide solutions for complex issues you will face during this journey.

With deep industry knowledge, our transition advisor consultants have deep experience in supporting business transitions.  We understand that every course may vary, dependent upon the path selected and your needs.

When it is time for Advisors to leave their current firm, numerous business and regulatory considerations arise, particularly upon departure.  JLG assists advisors by:

  • Evaluating conditions in employment or independent contractor agreements, such as non-competes, non-solicitation, trade secret provisions, and promissory notes;
  • Strategizing on business, legal and regulatory considerations for the next phase of the advisor’s career;
  • Assisting with the development of the strategic business plan;
  • Introducing Vendors to Assist in Future Business Endeavors;
  • Evaluating applicability of Broker-Protocol;
  • Assessment of Regulation S-P and Trade Secret Considerations
  • Step-by-step guidance on how to transition, with tips on how to mitigate risks against potential legal recourse from the soon-to-be-former employer; and
  • Providing a project calendar of actions to take before, during and after break-away.

For more information about due diligence, call our attorneys directly at 619.298.2880 or contact us online.


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