As TROs and lawsuits make headlines, two top attorneys who specialize in transitions share how advisors can minimize risk, protect...
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Explore the legal, regulatory, and operational considerations involved in financial advisor transitions. These podcast conversations address compliance, client portability, transition planning, and the professionals and processes that help advisors navigate a move while protecting their businesses and client relationships.
As TROs and lawsuits make headlines, two top attorneys who specialize in transitions share how advisors can minimize risk, protect...
LISTENAttorney 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.
Former Morgan Stanley advisor Margaret Dechant had a successful “self-sufficient business” at the firm with $2.5B under management. So, what drove her and her partners to breakaway, leave deferred compensation behind and form their own independent firm?
In this special podcast episode, Vince Fertitta, breakaway Merrill executive who is now President of Sanctuary Wealth, joins the show to discuss the Merrill Lynch enhanced CTP and what it means for all Merrill advisors going forward.
The Founder of Hamburger Law Firm and MarketCounsel shares his legal and business expertise on what financial advisors need to know about a leap to independence, post-Protocol moves, M&A, technology and the leveling of the playing field.
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.
Attorney Tom Lewis of Stevens & Lee shares advice for financial advisors on navigating transition, avoiding termination, Protocol vs non-Protocol moves, and what you need to know before signing a binding retire-in-place agreement with your firm.
Chris Winn of AdvisorAssist makes the topic of managing compliance less daunting in this conversation that dives into policy setting, how risk differs as an RIA, the relationship to workflow management, a changing regulatory environment and more.
Grier Rubeling, Advisor Transition Services, joins this special Industry Update episode to share practical portability tips and actionable transition advice for financial advisors considering or preparing to change firms.
While advisors successfully transition out of non-Protocol firms each and every day, doing so comes with added risks. Attorney David Gehn, whose expertise is in representing advisors in transition, shares advice with Jason Diamond.
Kevin Myeroff shares how he built a $2B firm, the process of planning for succession and ultimate decision to sell NCA Financial Planners to Sequoia Financial.