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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: Monday, November 10, 2025 Time: 11:30 a.m. – 3:30 p.m. ET Location: <a href="https://www.thompsonhine.com/locations/new-york_new-york/" target="_blank" rel="noreferrer noopener">Thompson Hine New York office</a> (virtual option also available) Contact: Elise Hoffer, <a href="mailto:Elise.Hoffer@ThompsonHine.com">Elise.Hoffer@ThompsonHine.com</a>

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We are pleased to invite you to the RIA Merger Conference, an exclusive in-person event in New York City (virtual option also available) designed specifically for registered investment advisers. This half-day panel program offers a unique opportunity to engage with peers and industry and thought leaders while exploring the latest trends and challenges shaping the RIA space.

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Navigating regulatory challenges and compliance requirements

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Impact of anti-assignment provisions on investment adviser change of control transactions under the Advisers Act

Exploring business arrangements, mergers and venture opportunities

Succession planning strategies for small and mid-sized RIAs

Addressing compliance issues unique to advisory practices

Understanding current regulatory concerns from the SEC and state regulators

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Small to mid-sized RIAs looking for growth opportunities or facing succession challenges

RIA owners and principals seeking practical strategies to protect and scale their practices

Compliance officers and legal counsel looking for insights into current regulatory and litigation risk areas

Industry professionals and consultants, including advisers on M&amp;A, succession or compliance matters

Stay ahead of regulation: Hear directly from industry leaders on SEC and state exam priorities

Protect your business: Learn proactive steps to mitigate compliance and litigation risks

Plan for the future: Explore strategies for succession, joint ventures and mergers

Network strategically: Connect with industry peers, aggregators and thought leaders

11:30 a.m. – Noon – Registration &amp; lunch Noon – 3:30 p.m. – Program

RIA Merger Conference: Compliance, Regulation & Growth

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