For clients looking to transition from an existing business model to either another model of retirement,
    Jacko Law Group, PC (JLG) can assist . Our services include Mergers & Acquisition Negotiations, Dissolutions,
    Transitioning to an Independent Model and Succession Planning.


    JLG provides assistance in transitioning Financial Consultants to the Independent Registered Investment Adviser  
    or Broker- Dealer Model. We will help you to evaluate non-solicitation and non- compete contracts with current firms,
    review your business plan for your new business model and lead you through the formation and registration process.


    Broker-Dealer Transition

    One of the most challenging aspects in a representative's career is to move from one broker-dealer firm to another.
    JLG will help you to assess the following:

  • New business model requirement;
  • Formation of business structure;
  • Counsel on state and federal securities laws, rules, regulations and requirements;
  • Review of legal agreements with current employer;
  • Counsel on marketing to former clients;
  • Review and drafting of new client agreements;
  • Registration with regulatory agencies; and
  • Development of policies and procedures for new independent practice.


    Investment Advisory Firm Transitions

    Establishing an independent advisory firm involves a series of intricate steps. JLG will to help to provide you with
    the following services:

  • Review of new business plan;
  • Advise on type of business (LLC, LP, s-corp, etc.);
  • Formulation of business structure;
  • Counsel on state and federal securities laws, rules, regulations and requirements;
  • Review of legal agreements with current employer;
  • Drafting of new Forms ADV
  • Formation of client agreements (including investment policy statements, investment management
    agreements and financial planning contracts);
  • Registration with applicable regulators and state agencies;
  • Development of policies and procedures (including internal controls) for new practice; and
  • On-going testing of your compliance program.


    For those Broker- Dealers, Registered Investment Advisers, and Hedge Funds looking to change existing ownership,
    JLG can assist with regulatory filings and communications with the regulators. JLG provides counsel on areas such as:

  • Mergers and acquisitions;
  • Selling your practice (succession planning);
  • Solicitors and Referral Agreements;
  • Client Disclosure Documents;
  • Regulatory Responses;
  • Notice Filings on Form ADV Part ;
  • Creation and Maintenance of Forms where BD, ADV and offering memorandums; and
  • Consent letters to clients and third-party service providers.


                                            For more information about services, please Contact Us at (619) 298-2880.
Jacko Law Group, PC
Securities & Corporate Counsel
Jacko Law Group, PC.- Professional qualitative legal services for
securities and corporate clients.
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