Matasar Jacobs is one of the most experienced law firms in the country in representing and counseling financial advisors who are changing firms and pursuing new opportunities in both Protocol and Non-Protocol scenarios. We have counseled thousands of advisors seeking to move their books of business without being sued. These transitions are high-stakes, and we understand what is on the line—protecting client relationships, preserving revenue, and ensuring compliance with regulatory obligations on client information.

We advise clients in every type of transition scenario, including wirehouse-to-wirehouse moves, shifts from wirehouse to independent broker/dealer, advisor moves between IBDs, broker/dealer to existing RIA transitions, and broker/dealer to client-formed RIA launches. In each case, we draw on decades of industry experience to help clients anticipate challenges and move forward with confidence.

Our counsel goes beyond contract review. We explain, in plain terms, what the agreements actually mean and how they apply to your situation—what you can and cannot do in soliciting clients, what files and information can be retained, and where loopholes in loosely drafted contracts may work to your advantage. By combining legal insight with practical business judgment, we help advisors avoid costly disputes while protecting the practices they have built.

When the time comes to resign, we ensure that you have a clear, step-by-step plan in place that complies with both firm contracts and industry regulations. Our goal is to make your transition as seamless as possible, minimizing disruption while safeguarding your relationships, reputation, and livelihood.