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Diamond Consultants: Financial Advisor Recruiting FirmDiamond Consultants: Financial Advisor Recruiting Firm
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Legal, Compliance & Transition Support

The Most Valuable Advice for Advisors and Business Owners

The Most Valuable Advice for Advisors and Business Owners

An 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.

Expert Advice for Non-Protocol Moves: What Advisors at Ed Jones and Other Firms Need to Know

Expert Advice for Non-Protocol Moves: What Advisors at Ed Jones and Other Firms Need to Know

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.

Expert Advice on Portability: What You Need to Know to Prepare for a Move

Expert Advice on Portability: What You Need to Know to Prepare for a Move

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.

Demystifying Compliance for RIAs: What You Need to Know

Demystifying Compliance for RIAs: What You Need to Know

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.

Transitions, Retire-in-Place Programs and Termination: A Top Attorney’s Perspective

Transitions, Retire-in-Place Programs and Termination: A Top Attorney’s Perspective

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.

A Lawyer’s Advice on How to Protect Your Business Now and Into the Future

A Lawyer’s Advice on How to Protect Your Business Now and Into the Future

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.

Brian Hamburger Talks Trends, Options and Opportunity—and What Advisors Need to Consider Before Making the Leap

Brian Hamburger Talks Trends, Options and Opportunity—and What Advisors Need to Consider Before Making the Leap

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.

An Attorney’s Advice on Navigating Transition

An Attorney’s Advice on Navigating Transition

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.

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