Merge or Acquire an Existing IA Firm

Bates Compliance understands the risks associated with the acquisition of an existing advisory firm, together with the need to comply with ongoing regulatory and compliance obligations, and the risks of unknown violations and litigations that may surface post-deal closing. When looking to acquire or affiliate with an existing advisory firm, let Bates Compliance perform the following services to provide a smooth transition:

  • Risk Assessment of the new entity
  • Due Diligence on the Firm or Individuals
  • Full (Annual) Compliance Review
  • Custom Projects

Contact Bates Group

Bates Group is with you every step of the way. Contact us today for more information on how our End-to-End Solutions can help your firm.

Contact Bates Group