RIA Merger Conference: Compliance, Regulation & Growth

Date: Monday, November 10, 2025
Time: 11:30 a.m. – 3:30 p.m. ET
Location: Thompson Hine New York office (virtual option also available)
Contact: Elise Hoffer, Elise.Hoffer@ThompsonHine.com

Presented by Thompson Hine LLP

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.

Key topics will include

• Navigating regulatory challenges and compliance requirements
• 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

Who should attend?

• 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&A, succession or compliance matters

Why attend?

• 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

Schedule

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