Mergers & Acquisitions Advisory

It is becoming more and more common for Broker-Dealers and Registered Investment Advisers (RIAs) to engage in a merger or acquisition. Whether considering a merger—consolidating two entities into one, or an acquisition—one company taking ownership of another, M&A can allow RIAs, Broker-Dealers, and Private Funds to grow or downsize as needed. M&A can empower small and single RIA owners to create succession planning, providing avenues for retiring Investment Adviser Representatives (IARs) to sell their businesses.

M&A requires an interconnection of creativity and sensitivity specific to each case. We help our clients navigate those complexities, while identifying and illustrating the unique opportunities in each deal with our clients. We advise clients on all of the potential legal implications M&A may have on their businesses, assisting clients to take all of the necessary steps to pursue and finalize a merger or acquisition, and ensure the process is completed in a manner in accordance with all state and federal regulations. Our versatility and experience enables us to address key areas with our clients such as antitrust, finance, tax, executive compensation, and intellectual property matters.

Our Mergers & Acquisitions services include:

  • Buying companies
  • Selling companies
  • Merging companies
  • Partner buyout agreements
  • Reorganization of companies and assets
  • Asset purchase/sale agreements
  • Buy/Sell agreements
  • Employment agreements
  • Sunset agreements
  • Creating, amending, and filing operating agreements and organizational documents
  • Updating, amending, and filing ADV documents to reflect changes in ownership

 

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Regulatory Defense, Securities Litigation, Private Funds, RIA Registration, General Counsel, Mergers & Acquisitions, FINRA Expungements

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