Financial Services
Specific Understanding of the Financial Services Industry
FINANCIAL SERVICEs
Financial Services Experience That Goes Beyond the Legal Issues.
✓ Advisor & Firm Transactions
✓ Advisor Transitions
✓ Regulatory & Business Matters
Have you ever hired an attorney who didn’t know financial services? How much time and money did you spend teaching that attorney our industry? There’s a reason it’s called “practicing” law…
Ever worked with an industry consultant who advises you, then tells you to confirm everything with your attorney for legal advice because the consulting firm can’t give you legal advice? Just as frustrating, right?
That’s why at AlphaBridge we combine legal advice with financial services experience. Our core competency in the legal field is financial services. It’s what we do.
AlphaBridge works with clients through their entire financial services life cycle.
Why work with AlphaBridge for your financial services legal matters?
Finding an attorney who is fluent in financial services is difficult.
AlphaBridge as Your Financial Services Counsel
Advisor & Firm Transactions
Acquisitions and sales of financial services practices and businesses, including valuation, deal structure, due diligence, negotiation, financing, definitive agreements and transition.
Advisor Transitions
Counsel to financial advisors and teams navigating transitions between broker-dealers, RIAs and other firms, including review of agreements, restrictive covenants, transition strategy and related legal issues.
RIA & Broker-Dealer Matters
Legal counsel involving RIA and broker dealer formation, registration, affiliation arrangements, advisor agreements, acquisitions, ownership changes and other business matters.
Regulatory & Compliance Matters
Counsel on regulatory and compliance issues affecting financial professionals and firms, including SEC, FINRA and state securities matters.
Contracts & Business Matters
Drafting, review and negotiation of employment, independent contractor, advisor, compensation, equity, succession, confidentiality and other business agreements.
Succession & Continuity
Succession planning, continuity arrangements, death and disability planning, internal transitions and long-term ownership strategies.
AlphaBridge Law represents financial advisors, investment adviser representatives, registered representatives, RIAs, broker dealers, and other financial services professionals and businesses in transactional, regulatory, and business matters. It embodies the same practical approach to help you through legal and other issues related to financial services.
Financial Services Experience.
Legal Counsel.
Let us bring our experience to work for you.
AlphaBridge Law LLC
Financial Services | M&A | Succession
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Portland, Oregon
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