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Advisors Succession Planning

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, JLG has deep experience in advisors succession planning and supporting business transitions.  We understand that every course may vary, dependent upon the path selected and your needs.


Advisors Owning Their Own Business

Venturing to start your own business takes careful planning and a strategic vision.  JLG can help simplify the process by:

  • Providing guidance and forming your corporate entity (LLC, S- or C-Corp, LLP, etc.);
  • Giving you a project calendar for your new investment advisory firm formation;
  • Drafting and filing Forms ADV and U-4 and spearhead all communications with the SEC or State regulators;
  • Authoring all client contracts, investment policy statements, privacy notices and sub-advisory or solicitor agreements (as applicable);
  • Developing your Compliance Program and policies and procedures manual and assess your operational requirements

For more information or to speak with a securities lawyer — contact our San Diego law office directly at 619.298.2880 or contact us online.

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