This checklist identifies certain questions, issues and/or best practices when conducting due diligence related to the purchase or sale of an investment adviser representative’s client list.
Last updated November 2022. Available to Gold, Platinum & Titanium Packages. Available a la carte Here.
SAVE THE DATE – On Thursday, August 14, 2025 We Will Host Our Virtual Online IAR CE Conference,
RIA Compliance Connect: Trends, Updates, and CE Credits in 2025
Click Here to Learn More