Prospective Advisors

The road to independence can be exhilarating enough without unnecessary risk. We help start-ups and breakaway brokers confidently navigate a host of complex issues, from business and commercial to employment transition to securities regulations. We allow them to focus on what matters most – building a successful business aligned with their vision and values; so they are left to tend to their client relationships and managing assets.

Employment Transitions

Corporate Counsel

Business Transactions

Intellectual Property

Investment Advisor and Broker-Dealer Compliance

When launching an investment adviser, clients frequently utilize the services of our affiliated consulting firm, MarketCounsel and their RIA Incubator program which furnishes a comprehensive suite of services specifically designed to provide prospective investment advisers with the consulting they need, fulfill their registration obligations, and install an initial regulatory compliance program.