Financial Services Law Firm • Altitude Securities Law Office

Helping our clients take their business to the next level.

About Altitude Securities

We are a boutique law firm with experienced attorneys who represent individuals and companies in the financial services industry, including Investment Advisors, Broker-Dealers, and Private Funds. We help our clients in all aspects of their business, whether they are starting out in the financial services industry, need guidance along the way, or are nearing the end of their career looking to retire.

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Articles

Understanding The Legal Landscape Of RIA Ownership Change

The legal landscape surrounding RIA ownership change can be complex, involving various regulatory bodies, compliance requirements, and legal considerations. Understanding the complexities of this type of transfer is crucial for successful transitions and to maintain the long-term health and stability of the firm. The process often involves interactions with regulatory bodies such as the Securities … Understanding The Legal Landscape Of RIA Ownership Change Read More »

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Navigating Sunset Agreements in Your RIA Business Sale

As you navigate the sale of a Registered Investment Adviser (RIA) business, sunset agreements can serve as vital components. These unique provisions act as a safeguard for a retiring adviser and ensure continuity for clients. Sunset clauses may be embedded within contracts or agreements during the process of selling an RIA business or may be … Navigating Sunset Agreements in Your RIA Business Sale Read More »

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Effective RIA Succession Planning Implementation

Less than one-third of Registered Investment Advisors (RIAs) have comprehensive succession plans, which exposes firms to significant risks and disruptions. In the fast-paced, ever-evolving world of financial services, having a detailed RIA succession plan is crucial for the continuity and stability of your firm. Implementing effective RIA succession planning ensures that client service remains uninterrupted, … Effective RIA Succession Planning Implementation Read More »

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RIA Registration Considerations, Process & Timeline: a FAQ

Starting a Registered Investment Advisor firm is an exciting and challenging endeavor. Whether you are considering a new career path as an Investment Advisor Representative (“IAR”) or are experienced in the industry and are considering starting your own Registered Investment Advisor (“RIA) firm, it is important to understand the process

Succession Planning for Investment Advisors

A succession plan is a documented strategy that outlines the steps and measures to be taken in the event that an RIA owner and/or investment advisor leaves, retires, becomes incapacitated, or dies. A succession plan is vital to ensure the continuity of the RIA’s business

What to Expect During a Regulatory Exam

A compliance exam for a registered investment advisor (“RIA”) is an examination conducted by the Securities and Exchange Commission or a state securities regulatory authority to assess the policies and procedures of the RIA. The purpose of a regulatory exam …

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Address

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Edmond, OK 73034

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