financial advisors transition to a new firm

Rogge Dunn Discusses Financial Advisor’s End Game for Transitioning to “Newco”

Rogge Dunn, a seasoned attorney for financial advisors, was recently interviewed about his keynote speech at the AdvisorHub Summit. Weighing in on the challenges and avenues that should be taken during this process, Rogge points out just how important it is to make sure that when financial advisors transition to a new firm, it should always be done in the right way.

Transition the Right Way

When you and your team decide to transition from Oldco to Newco, do it in the correct way. This helps avoid any unnecessary conflicts and ensures that the transition will be beneficial to your clients. When asked what the first course of action should be, Rogge pointed out that you should first bring the “end game” into consideration. What is your team’s goal for your clients and how will this transition benefit them?  Rogge emphasized that “many folks focus just on the money right away, instead of looking if the new firm is a good fit for their clients.” The transition from the Oldco to Newco should in no way be rushed. “If you know what your end game is, think about that, and then take the time to plan,” says Rogge. “Don’t rush!”

Taking time to carefully consider your team’s plan of action and gather any necessary documents. In addition, gaining advice from experts in the field will enable you to ensure that the transition goes smoothly. Ensuring that you have access to sound legal counsel is vital. Make sure that you select a lawyer well versed in FINRA arbitration

Rogge Dunn has ample experience helping financial advisors transition to a new firm. Every year, Dunn aids approximately 10 teams during their transition to new firms. He helps protect relationships, reputations, and handles any disputes that may arise.

Watch Rogge Dunn’s interview with Asset TV during the AdvisorHub Summit event to hear his full insight into how to make the transition smooth and why it matters.

MEDIA

An Update on Title IX Changes
READ MORE
Workplace Harassment Lawyer: When You Might Need One
READ MORE
April 29, 2021: Rogge Dunn Group Welcomes Attorney Anna Richardson to the Team
READ MORE
Federal Court of Appeals Affirms Jury Verdict Won by Rogge Dunn Group Overtime Lawyer that our Client was not Required to Pay Overtime Under its Commission Plans
READ MORE
April 15, 2021: Rogge Dunn of Rogge Dunn Group Names Classroom at SMU Business School
READ MORE
Texas Lawyer Publishes Article Written by Rogge Dunn on How Employers Should Handle COVID-19 Vaccine Open Eligibility
READ MORE
Rogge Dunn Group Represents Female General Counsel Against COVID Retaliation & Bullying
READ MORE
Rogge Dunn Interviewed on Fox 26 Houston: Can Employers Require Vaccinations?
READ MORE
Rogge Dunn Quoted in Fox 4 KDFW News Segment on the National Emphasis Program and Federal Agencies’ COVID-19 Policies
READ MORE
Apr. 28, 2021: Rogge Dunn to Speak for the DAYL Trial Skills Boot Camp Spring CLE Zoom Webcast
READ MORE
Employee Commission Chargeback Law: Commission Today, Gone Tomorrow
READ MORE
Rogge Dunn Quoted in Dallas Morning News About Mask Policies of Major Retailers in Dallas
READ MORE
Rogge Dunn Interviewed by CBS 11 News on Reopening Texas
READ MORE
Apr. 19, 2021: Rogge Dunn to Speak in Live Webcast on Commercial Litigation Trends, Updates, and Challenges Amidst the COVID-19 Pandemic
READ MORE
Chase Potter Named to 2021 Best Lawyers Under 40 by D Magazine and Secures Multi-Million Dollar Zoom Verdict
READ MORE
Jan. 26, 2021: Rogge Dunn to Speak in LIVE CLE Webcast on Demystifying the Current Landscape of Broker-Dealers Amidst the COVID-19 Pandemic
READ MORE

Contact Us Today!

Contact us to learn how we can help answer your legal questions.

FILL OUT FORM