The Avisen Financial Advisor Practice Team represents financial advisors (including investment advisors, financial planners, and broker dealers) in a variety of situations including entity formation, buy-sell and ownership agreements, succession planning, investing in a financial advisor practice, registration as an investment advisor or broker dealer, responding to regulatory requests, investigations or audits, and employment matters. What sets Avisen’s Financial Advisor Practice Team apart is our deep understanding of securities regulations, our expertise in assisting financial advisors with their succession planning, and our unique collective experience in handling such matters on behalf of both the regulators and the regulated.
The Avisen Financial Advisor Practice Team can help you with the following:
-Financial advisor transitions to and from broker dealers
-Financial Advisor firm start-ups
-Registration as an investment advisor or broker-dealer
-Drafting compliance-related policies and procedures, including written supervisory procedures, client contracts, privacy policies, codes of ethics, employment agreements and other documents
-Responding to a regulatory inquiry or subpoena
-Preparing for a regulatory audit or examination
-Real estate acquisition and development
Brian Edstrom regularly advises financial advisors on regulatory compliance matters. As the former Director of Securities at the Minnesota Department of Commerce and a current board member of the Financial Planning Association of Minnesota, he has a deep understanding of registration requirements and state and federal regulations applicable to broker dealers, financial planners, and investment advisors.
John Saunders regularly advises financial advisors regarding practice acquisition, practice buy-ins and all aspects of commercial real estate.
Bill Egan brings 30-plus years of experience advising clients on employment law matters, including employment-related compliance and risk management issues, confidential information and non-solicitation agreements, financial advisor acquisitions and departures, and employment-related litigation and FINRA arbitrations involving owners and representatives of financial advisory companies.
Kim Lowe has worked with financial advisory companies and their owners throughout her 20 years of legal practice. Kim brings both her tax and corporate governance experience to craft practical and understandable agreements between business owners to facilitate business formations, acquisitions, and succession planning.