RIA Succession Planning: Economic, Legal and Regulatory Considerations for Transitions and Exits

Dec
6
2023

Date: December 6, 2023

Time: 12:00PM - 1:00PM (EST)

Senior management of registered investment advisers must increasingly ensure that their wealth management platforms will continue to offer products, services, continuity, and capabilities that meet their clients’ needs not just now, but in the long term. Strategic and legal considerations around growth, infrastructure, service providers, industry consolidation, and talent are critical to navigating this challenge.

Our webinar will offer practical insights from fellow wealth management industry professionals with experience in the kinds of decision points, initiatives, solutions, and transactions that leaders of wealth management firms confront. Topics to be discussed include strategic partnerships, internal transitions, new ownership structures, mergers & acquisitions, organic growth, and technological innovation - and the role each is expected to play in the future of wealth management.

Professionals

  • Larry P. Naughton
  • Steve Ganis

    • Related Practices

  • Private Equity
  • Mergers & Acquisitions
  • Private Client

    • Related Industries

  • Financial Services

    • Speakers

    Professional Cropped Naughton Larry Mintz

    Larry P. Naughton

    Speaker

    Larry Naughton is a Mintz corporate attorney who focuses on M&A deals, financings, and strategic agreements. He represents start-ups, emerging companies, and public companies as well as private equity and venture capital funds.
    Professional Cropped Ganis Steve Mintz

    Steve Ganis

    Moderator

    Steve Ganis is a government and private-sector lawyer at Mintz. His practice focuses on federal banking, securities, and derivatives laws, and he's recognized for his knowledge of anti-money laundering (AML) and sanctions regulations. Steve represents financial institutions and executives.