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RIA Succession Planning: Economic, Legal and Regulatory Considerations for Transitions and Exits


Date: December 6, 2023

Time: 12:00PM - 1:00PM (EST)

Senior management of registered investment advisers must increasingly ensure that their wealth management platforms will continue to offer products, services, continuity, and capabilities that meet their clients’ needs not just now, but in the long term. Strategic and legal considerations around growth, infrastructure, service providers, industry consolidation, and talent are critical to navigating this challenge.

Our webinar will offer practical insights from fellow wealth management industry professionals with experience in the kinds of decision points, initiatives, solutions, and transactions that leaders of wealth management firms confront. Topics to be discussed include strategic partnerships, internal transitions, new ownership structures, mergers & acquisitions, organic growth, and technological innovation - and the role each is expected to play in the future of wealth management.


Larry Naughton is a Mintz corporate attorney who focuses on M&A deals, financings, and strategic agreements. He represents start-ups, emerging companies, and public companies as well as private equity and venture capital funds.
Professional Cropped Ganis Steve Mintz

Steve Ganis


Steve Ganis is a government and private-sector lawyer at Mintz. His practice focuses on federal banking, securities, and derivatives laws, and he's recognized for his knowledge of anti-money laundering (AML) and sanctions regulations. Steve represents financial institutions and executives.