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.
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.
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.
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.
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.
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.
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.
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.
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.
