Navigating through the process of buying or selling a Registered Investment Adviser (RIA) firm requires meticulous planning, strategic decision-making, and a comprehensive understanding of specific legal documents. Among these, the Asset Purchase Agreement (APA) plays a significant role. This contract outlines the terms and conditions for the purchase and sale of an RIA’s assets during […]
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About Altitude Securities
We are a boutique law firm with experienced attorneys who represent individuals and companies in the financial services industry, including Investment Advisers, 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
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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