Course Overview

Description: As your firm grows, it’s likely that you’ll decide to hire staff or outsource certain business functions. This course walks you through important considerations for hiring staff and/or contractors, and provides an Professional Services Agreement you can use when hiring Independent Contractors. This course also covers considerations for closing your RIA. 

Learning Objectives/Outcomes: After taking this course, you’ll be able to: 

  1. Make effective decisions related to hiring, onboarding, and supervising employees for your RIA
  2. Understand compliance considerations related to hiring independent contractors and use the template provided to develop an Professional Services Agreement for your firm
  3. Understand compliance considerations related to closing an RIA 


Intended Audience: Firm owners who want to learn more about hiring staff, merging with another firm or closing an RIA.