As TROs and lawsuits make headlines, two top attorneys who specialize in transitions share how advisors can minimize risk, protect...
LISTEN
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...
LISTENAn annual digest of the 2022 season’s most ground-breaking commentary for financial advisors and business owners on topics including autonomy, change, clients’ needs, succession, next gens, growth, and much more.
James Hughes of Live Oak Bank discusses debt financing for prospective breakaway advisors looking to de-risk a leap to independence or payoff a note balance, or business owners seeking funds for acquisitions or succession planning.
Mindy Diamond and Louis Diamond share ideas from 25 years of experience to help advisors navigate the daunting process of transition and advice on how to better cope with what can feel like a tumultuous ride.
Attorney Matt Baum breaks down the facts on the latest FTC Noncompete Rule, the potential impact on an advisor’s business, current agreements, the ability to transition, and more.
In a world managed to the lowest common denominator and driven by heavy-handed compliance, every employee advisor is vulnerable. In this episode, Mindy and Louis break it all down, share warning signs all advisors should pay attention to and proactive steps an advisor can take to protect themselves.
Expert industry attorney Corey Kupfer offers advice to all advisors, whether considering change or not, including perspectives on contractual obligations and potential landmines one might encounter in a move, plus how to prepare your business for change, with actionable best practices to adopt today.
As TROs and lawsuits make headlines, two top attorneys who specialize in transitions share how advisors can minimize risk, protect client relationships, and make a clean move with confidence.