Break Away From The Pack

United States Financial Advising Legal Blog

Do you need an employee handbook?

Despite massive advances in technology and changes to how we work, it still pays to give all your employees an employee handbook when they start. Whether you print it or keep it virtual is up to you, but ensure you get a signature to say they have read it. What can it...

Challenges to expect when starting your RIA

You have finally decided to make that big leap and start your own RIA firm. However, uncertainties generally associated with starting on your own abound. While you can’t expect to have it easy, there are some challenges you need to be aware of and ensure you have...

Signs it’s time to leave your firm

As an investment advisor with a large firm, you’ve probably enjoyed some sense of stability. This might be the career you’ve dreamed of, but suddenly you want more. If you’re thinking about leaving a big-name firm, you should be sure that it’s really what you want. ...