Operating successfully requires effort from various areas of business such as accounting, information technology, investing and human resources. Companies also benefit from the insight of a professional familiar within their industry, including the laws, restrictions, and other regulations to keep … Read More
You have found a new candidate that appears to be a great fit for your organization and are preparing to make an offer. But what should that offer look like – is an offer letter better or an employment agreement or both?… Read More
Among the most notable workplace trends in recent years has been the growing number of financial advisors seeking to breakaway 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.
As an entrepreneur and business owner, you work tirelessly developing your business plan, networking, creating a stylized logo and brand and your hard work should be protected. The most valuable business assets of your firm often include its Intellectual Property.… Read More
Each new year, rings in many new beginnings and changes; employment law in 2021 is no different. Many of these changes require the concurrent navigation of federal and state laws, as well as an understanding of the contractual requirements and implications imposed on companies and their employees.… Read More
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.
Investment adviser representatives and registered representatives (together, “Advisors”) face numerous issues when making a move to a different financial services company. Even the strongest relationship with an employer can be strained when a departure occurs as the Advisor is generally attempting to transfer client relationships (and corresponding revenue) to the new company. … Read More