Break Away From The Pack

United States Financial Advising Legal Blog

How can an attorney help you break away and start your own financial advising firm?

by aman.agarwal@thomsonreuters.com | Feb 3, 2021 | RIA Formation

If you’ve been a financial advisor for a while, you may dream of one day breaking away from the big firm you work for. You may want more autonomy, the ability to set your own hours and use your own financial planning philosophy more when you work with clients....

Is your RIA complying with new leave requirements?

by breakawaypartnerslaw_42otz6 | May 13, 2020 | Employment Matters

In response to the spread of COVID-19, state and federal governments implemented a series of laws, regulations, and executive orders requiring employers, including most RIAs, to provide sick and family leave to certain employees. RIAs and other independent financial...