Registered investment advisor (RIA) firms have an opaque business structure. A company has its own name, and there is not necessarily any public record of who has an ownership interest in any particular company or who helped to start a new RIA firm. Given that many...
Break Away From The Pack
Year: 2024
How California Assembly Bill 1076 affects the enforceability of non-compete agreements
In recent legal developments, California Assembly Bill 1076 has emerged as a significant piece of legislation, inspiring substantial changes in regard to the enforceability of non-competition agreements. Many people in the business community know that non-compete...
How an employee handbook can help to manage your workforce
Effective workforce management is important for sustained success in the business world. One powerful tool that often goes overlooked is the creation of an employee handbook. An employee handbook, strategically crafted and regularly updated, can serve as the...
Can starting a breakaway firm violate someone’s duty to clients?
Serving as a registered investment advisor (RIA) is a very challenging but rewarding position. Someone can help manage other people's finances to help them achieve certain goals, such as generating a certain amount of investment income to prepare for retirement....