Broker Recruiting and Transition

For more than three decades, we have assisted Registered Representatives and Investment Adviser Representatives in transitioning their business from one firm to another. We are well versed in the contracts broker-dealers and investment advisers present to their employees at the outset of the relationship and we have substantial experience helping investment professionals move from one firm to another, whether or not the current firm and/or the new firm are signatories to the Protocol for Broker Recruiting. We provide advice and counsel designed to help transitioning investment professionals successfully move their business with a minimum of disruption and with the goal of avoiding unnecessary litigation.