financial advisors transition

Rogge Dunn Interviewed About Common Mistakes Made During the Transition From Oldco to Newco

Rogge Dunn was interviewed at the 2018 AdvisorHub Summit about common mistakes that financial teams make when transitioning from Oldco to Newco.

In the interview, Dunn states that the first mistake many teams make when transitioning to a new company is failing to do it in a professional manner. Dunn emphasized that despite the measures a team’s current company may or may not have in place, “the protocol [for leaving], whether they go from one protocol firm to another, you still need to leave the right way.”

It is also important for a team consider their plan of action for the transition. Additional copies of documents such as: an existing non-compete agreement, offer letter, any existing arbitration agreement, and the current contract should be gathered and reviewed prior to making the transition. The team should also ensure that each action is taken for the benefit of their clients.

For more insight on how teams can avoid common mistakes during firm transitions, view the video below.

Rogge Dunn has years of experience serving as a lawyer for financial advisors. If your team is looking for additional support during the transition period, you have come to the right law firm. Contact our firm today about a consultation concerning team transitioning.

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