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Wealth Management Investment Firms

Goodwin

UK Regulatory Capital Reforms: A Boost for Start-Up Founders and Venture Capital Investors?

Goodwin on

In its recent consultation [CP25/10: Definition of capital for FCA investment firms] (Consultation), the Financial Conduct Authority (FCA) has stated that it wants to amend its capital rules for investment firms — such as...more

Robins Kaplan LLP

Q&A With Anne Paape, Managing Director and Senior Fiduciary Counsel at Cresset

Robins Kaplan LLP on

The Spotlight had the pleasure of sitting down with Anne Paape, managing director and senior fiduciary counsel at Cresset and Cresset Trust Company, to talk about the historic transfer of wealth many countries are undergoing,...more

Fox Rothschild LLP

AdvisorEsq Podcast Series - Episode 8 - Executive Insights: Succeeding as a COO at an RIA Firm

Fox Rothschild LLP on

How can a chief operating officer be most impactful at a registered investment advisor firm? In this episode, host Matt Baum chats with Matt Sonnen, COO of Coldstream Wealth Management. They discuss what it means to be a COO...more

Farella Braun + Martel LLP

7 Tips to Help Financial Advisor Firms Protect Their Customer Lists

Customer relationships are a key asset for companies in the financial advising and wealth management industry. In California, however, the law is making it increasingly difficult to stop departing employees from soliciting...more

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