By Wendy Leung – When considering a move, it’s natural for advisors to wonder whether clients will follow them to the new firm. Yet the desire to share the news can completely derail a transition to another firm. Here’s what top attorneys recommend when it comes to communicating with clients before, during and after a move.
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Attorney David Gehn, of NY law firm Ellenoff, Grossman & Schole, LLP, shares actionable advice for advisors including how to avoid risk, manage transitions and renegotiate promissory notes/ EFLs, plus challenges RIAs are facing and relief programs available.
By Mindy Diamond, WealthManagement.com – The world is a very different place than it was just a week ago—and continues to change in ways no one could predict nor prepare for. First and foremost, we are navigating an extraordinary health crisis and must prioritize taking care of ourselves and our loved ones.
It’s impossible to talk about independence without addressing the industry at-large. That’s because the independent space itself was born as a result of changes within the landscape—an ongoing evolution cultivated by shifting advisor sentiment and client expectations. So to address requests from listeners of our flagship podcast series, Mindy Diamond...
Attorney David Gehn shares his experience in working with advisors through non-Protocol moves, the challenges of terminations and hyper-compliance, avoiding TROs and other contractual matters that can arise even before an advisor considers a move.
A podcast for financial advisors exploring independence and other options in an expanded landscape As a nationally recognized recruiter and consultant to financial advisors, Mindy Diamond has unmatched experience in introducing advisors to the independent space, an option that has greatly expanded yet remains somewhat of a mystery to many...
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