Financial Services Law Firm • Altitude Securities Law Office

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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, …

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Charting The Path To A Successful RIA Career

The Independent Registered Investment Adviser (RIA) channel is a career path that’s gaining popularity among financial planners and financial advisers. Owning your own RIA firm offers flexibility, autonomy, and allows advisers to provide highly specialized services tailored to their clients’ unique needs. In fact, each year, over 1,600 advisers make the transition into this space, …

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Understanding Asset Purchase Agreements For RIA Transitions

Navigating through the transition process of 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 that transition …

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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 …

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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 …

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