Monday, November 10
11:30 a.m. – 3:30 p.m. ET
We are pleased to invite you to the RIA Merger Conference, an exclusive in-person event in New York City (virtual option also available) designed specifically for registered investment advisers. This half-day panel program offers a unique opportunity to engage with peers and industry and thought leaders while exploring the latest trends and challenges shaping the RIA space.
Key topics will include
- Navigating regulatory challenges and compliance requirements
- Impact of anti-assignment provisions on investment adviser change of control transactions under the Advisers Act
- Exploring business arrangements, mergers and venture opportunities
- Succession planning strategies for small and mid-sized RIAs
- Addressing compliance issues unique to advisory practices
- Understanding current regulatory concerns from the SEC and state regulators
Who should attend?
- Small to mid-sized RIAs looking for growth opportunities or facing
succession challenges - RIA owners and principals seeking practical strategies to protect
and scale their practices - Compliance officers and legal counsel looking for insights into current regulatory and litigation risk areas
- Industry professionals and consultants, including advisers on M&A, succession or compliance matters
Why attend?
- Stay ahead of regulation: Hear directly from industry leaders on SEC
and state exam priorities - Protect your business: Learn proactive steps to mitigate compliance
and litigation risks - Plan for the future: Explore strategies for succession, joint ventures and mergers
- Network strategically: Connect with industry peers, aggregators and
thought leaders
Schedule
11:30 a.m. – Noon – Registration & lunch
Noon – 3:30 p.m. – Program
Location
Thompson Hine LLP
300 Madison Avenue, 27th Floor
New York, New York
Register to Attend In Person