I have assisted numerous financial industry professionals with their transition from the wire-house channel to operating as independent investment advisers. To do so takes experience, legal know-how, preparation, and patience. While other compliance companies can offer to register an investment adviser for a very small fee, I always caution prospective clients to be wary ofContinue reading “Registered Investment Adviser Entity Formation, Registration and Employment Transition Checklists”
Tag Archives: Hybrid RIA
The Disclosure Obligation under Regulation Best Interest
While this blog is typically focused on issues pertinent to investment advisers and their associated persons, Regulation Best Interest also extends to “associated persons of a broker dealer”. Many clients that I represent have relationships with broker-dealers and are responsible for supervising persons who are “associated persons of a broker dealer”. I often refer toContinue reading “The Disclosure Obligation under Regulation Best Interest”