RIA Firms

The attorneys of Kupfer & Associates have assisted hundreds of registered investment advisory firms and industry service and aggregator platforms to launch, grow and exit.

At Kupfer & Associates we work with RIA firms through every stage of development of their business – from working with break-away brokers on their transition to independence, to creating, designing and structuring new firms and platforms through our whiteboarding sessions, strategic advice and legal implementation, to helping RIA firms grow via deals to onboard new advisors (including dealing with their employment transition issues), tuck-ins and mergers & acquisitions to assisting with exit deals and succession planning implementation advice and services.

Our investment advisor clients love working with us for one simple reason - we are passionately committed to the independent RIA movement and supporting them to become entrepreneurs, fulfill their dreams and vision, and grow and build enterprise value.

We invite you to contact our attorneys to arrange a consultation and discuss how Kupfer & Associates can support your RIA firm or platform launch, growth or exit.

Preparing breakaway brokers for ria independence

This 10-tip series will help prepare breakaway brokers and financial advisors to leave wirehouses, banks and trust companies to move to RIA Independence via Broker Protocol and non-Protocol transitions into their own firm or an existing RIA firm.


This 10-tip series will help will help RIA firms that want to do mergers and acquisitions (M&A), tuck-ins and advisor on-boarding deals.