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Thompson Hine LLP, a full-service business law firm with approximately 400 lawyers in 8 offices, was ranked number 1 in the category “Most innovative North American law firms: New working models” by The Financial Times and was 1 of 7 firms shortlisted for The American Lawyer’s inaugural Legal Services Innovation Award. The firm has been recognized by the National Law Journal as a Legal Technology Trailblazer and featured by Bloomberg for its innovative service delivery models, which drive accuracy and predictability. The firm’s commitment to innovation is embodied in Thompson Hine SmartPaTHTM – a smarter way to work – predictable, efficient and aligned with client goals. For more information, please visit ThompsonHine.com and ThompsonHine.com/SmartPaTH.

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Date: Tuesday, October 21, 2025 Time: 2:00 – 3:00 p.m. ET Location: Virtual Contact: Elise Hoffer, 513.352.6748, <a href="mailto:Elise.Hoffer@ThompsonHine.com?Subject=IM Coffee Chat - Oct 21">Elise.Hoffer@ThompsonHine.com</a>

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A&nbsp;webinar presented by Thompson Hine LLP

Beyond the Prospectus: Rethinking Securities in Modern Investing

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Join us for an afternoon break to chat about hot topics and trends relevant to your business. Our concise and practical discussions will focus on a variety of developments that impact financial service industries, and we’ll offer insights and considerations that will certainly be of interest to you.

Session Eight: Registered Investment Advisor Dealmaking: Strategy, Risk and Readiness

RIA M&amp;A activity remains robust, driven by advisor demographics, recurring revenue models, and operational scale. This session will unpack valuation, deal structures, and regulatory considerations—plus practical steps to protect value and minimize risk on both sides of the table.&nbsp; Our speakers will address:

Market drivers: RIA M&amp;A and the current buyer landscape (including PE)&nbsp;

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Valuation drivers: AUM, revenue quality, EBITDA multiples, client demographics, growth, team/succession, tech/ops, compliance, brand/niche&nbsp;

Deal structures: equity vs. asset purchases—tax, liability, and transition trade-offs&nbsp;

Regulatory and compliance: key filings/disclosures, common diligence red flags, recent SEC exam trends&nbsp;

Diligence priorities: compliance, client contracts/consents, personnel, and succession planning&nbsp;

Client and talent retention: communication within regulatory constraints; employment agreements and restrictive covenants&nbsp;

Post-closing integration: aligning compliance programs, tech/ops, client transitions, and billing/financials&nbsp;

Near-term prep: steps sellers should take 2–3 years out; buyer integration readiness

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Moderator: <a href="https://www.thompsonhine.com/professionals/andrew-j-davalla/">Andrew Davalla</a>, Partner, Thompson Hine Panelists:&nbsp;

<a href="https://www.thompsonhine.com/professionals/shelbie-harvey/">Shelbie Harvey</a>, Senior Managing Associate, Thompson Hine

<a href="https://vigilantllc.com/about/our-team/salvatore-faia/">Salvatore Faia</a>, Esq, CPA, CFE, Vigilant

Investment Management Coffee Chat Series – Session 8: Registered Investment Advisor Dealmaking: Strategy, Risk and Readiness

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