Print PDF

Advisors Joining, Merging with or Acquiring a New Team (Asset Purchases)

Overview

Legal risks.  Business Factors. Regulatory Considerations.  Navigating through these and other issues are challenging, particularly as financial professionals breakaway 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 attorneys have deep experience in supporting business transitions.  We understand that every course may vary, dependent upon the path selected and your needs.


Advisors Joining, Merging with or Acquiring a New Team (Asset Purchases)

At times it just makes sense for teams to merge – whether to expand services, grow assets or diversify opportunities.  JLG assists firms in helping them achieve successful mergers and acquisitions (“M&A”) by:

  • Drafting letters of intent;
  • Negotiating terms of the deal;
  • Evaluating operational systems for M&A complexities that may occur during the transition;
  • Conducting or assisting with due diligence of the other party;
  • Authoring notification communications to clients;
  • Amending Forms ADV, Investment Advisory Agreements and other documents (such as corporate records) necessary to complete the merger;
  • Drafting deal documents; and
  • Providing counsel on various regulatory considerations of the M&A.

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

Jump to Page

This website uses cookies to enhance your browsing experience and improve functionality. By continuing to browse this website, you are accepting our use of cookies in accordance with our privacy policy.