Upcoming Speaking Engagements
I look forward to presenting at the following upcoming events: Noncompetes and Restrictive Covenants: What Every Financial Advisor Needs to Know Date: November 12, 2025 Venue: Financial Experts Network https://www.financialexpertsnetwork.com/webinar-registration?webinar=3082 Investment Adviser Marketing Rule Date: December 11, 2025 Venue: Comply https://www.comply.com/resource/investment-adviser-marketing-rule-3/ Selling Your Book of Business: Contracts, Privacy Laws, and th
Isaac Mamaysky
Oct 13
Don’t Gloss Over the Rollover
Rollover equity is a purchase price component that often appears in financial advisory/wealth management services transactions. In short, rollover equity is an equity interest ( i.e. , shares of stock, limited liability company units, etc.) in the purchaser entity or a related entity that is issued to the seller. Oftentimes, rollover equity is generally mentioned in an indication of interest or letter of intent as it relates to purchase price, but granular details are rarely
Greg Watkins
Oct 13
Is a Signature Page Sufficient?
A client recently raised an interesting contract law question: Is an executed signature page sufficient, or should you ask your...
Isaac Mamaysky
Oct 9
Marketing Rule Enforcement Trends
Three years ago, the SEC made waves in the long-established regulatory landscape for investment advisers. The new Investment Adviser Marketing Rule impacts nearly every communication an adviser makes, which has major implications for day-to-day operations. The SEC has said that compliance with the Marketing Rule is among its 2025 enforcement priorities -- and it was a 2024 enforcement priority before that. Enforcement has followed. In September of 2023, the SEC announced char
Isaac Mamaysky
Oct 9
The Arguments Against Noncompetes
Many career transitions begin with what’s known as a “lift-out analysis.” This involves carefully reviewing employment agreements to...
Isaac Mamaysky
Oct 1
SEC Withdraws AI Rule
As is the case across industries, AI is transforming the investment advisory landscape. It's enhancing client service, making advisers...
Isaac Mamaysky
Sep 13
AML Rule Delayed
Many RIAs have been preparing compliance programs in anticipation of the new anti-money laundering (AML) rule for investment advisers,...
Isaac Mamaysky
Aug 31