Managing Partner Michelle L. Jacko‘s article, “Legal and Regulatory Considerations for Going Independent,” has been published as an industry white paper in conjunction with Charles Schwab & Co., Inc.… Read More
The LawTV/Video Bolt Video 14: Assembling the Right Legal Team for Your M&A… Read More
Mergers and acquisitions are becoming increasingly commonplace as a result of strategic transition planning. Each of these scenarios has a series of regulatory compliance considerations the business must face, whether on the breakaway path or on the merger and acquisition side.… 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.
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 business transition to a new firm or the start of a new business.
Jacko Law Group, PC (“JLG”) continues to see a high volume of financial advisors transitioning from one broker-dealer or registered investment advisory firm to another. When advisors[1] change firms in the heavily-regulated financial industry, they and the firms they are joining must understand federal and state laws, as well as contractual limitations and how those considerations will factor in to the transition process.… Read More
The LawTV Video 2: What to Know For Your Business Transition… Read More
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.
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.
The January Risk Management Update was written by Jacko Law Group, P.C. (“JLG”) and published on January 28, 2020.… Read More