Buying or selling an RIA is a significant step, whether you are a buyer or a seller. For a buyer, it means rapid growth and achieving scale. For the seller, it is the final chapter in a long story that needs to end well. As you think about selling your RIA, or buying one, few advisors proactively consider the compliance considerations and steps related to RIA mergers and acquisitions.
Key topics we’ll address:
Join M&A expert David Grau Jr. of Succession Resource Group as he discusses and interviews John Carr, JD, an industry veteran and compliance guru. Together they will discuss the following best practices when structuring a deal:
- Critical compliance considerations
- What to watch out for
- Best practices for communicating with clients
- How and when to use negative consent
- How to avoid compliance issues
