In this episode, Elite Consulting Partners CEO Frank LaRosa is once again joined by Brian Neville, Founding Partner of Lax & Neville, for the legal perspective series, tackling some of the most common legal issues confronting transitioning advisors. The conversation between Frank and Brian goes beyond general guidance and is both candid and granular in its perspective.
Topics of discussion include:
*protocol versus non-protocol firms and the basic mistakes advisors make when leaving a non-protocol firm.
*why it is important for transitioning advisors to be informed of their receiving firms’ rules for client information and the imperative of remaining consistent within that paradigm.
*best practices for handling client contact information within the digital space.
*what advisors can and cannot say to clients prior to making a move to a new firm partner.
*why seeking your own legal counsel is a must for every transitioning advisor.
The information provided by Frank and Brian isn’t just informed, it’s actionable for every advisor. Listen and learn how to successfully confront the spectrum of legal nuances surrounding a transition and move forward with confidence.