After years of experience at the Securities and Exchange Commission and then Charles Schwab, I founded RiAdvantage Consulting and Gilkerson Law as complementary service providers for RIAs, FinTech firms, broker-dealers, and non-profits and social enterprises in the financial sector. My clients include start-ups and more established firms seeking strategic advice to expand their services, products, client base, or strategic relationships. Services include regulatory analysis to determine what is possible and required, drafting and negotiating all types of agreements, and compliance reviews to enable growth while assuring integrity, trust and confidence. Areas of expertise:-advertising and marketing rules-agreements of all kinds (platform, product, licensing, service, referral/solicitation, independent contractor)-board counseling-CFP standards-conflicts of interest-custody rule-cyber security-due diligence for deals-ERISA-fee arrangements-fiduciary duties-FINRA rules-Forms ADV and CRS-family office needs-independent broker-dealer model-international and cross-border-managed account programs-mutual fund share class issues-outsource providers-privacy-registration issues-Regulation BI-robo-advisors-SEC exams-sales and distribution arrangements-TAMP platforms-trading issuesHave a question? Let’s talk!