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.
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.
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.
If you’re at a wirehouse or independent broker dealer, compliance is managed for you. But what if you want to launch your own RIA firm? Chris Winn of AdvisorAssist makes the topic 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.
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.
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.
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 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.
