Financial Advisor Operating &/or Partnership Agreements:
The Legal Document Amongst Shareholders

Recently Released!!!
Date Published: February 7, 2016
Summary Power Point Deck: 27 Slides
Reference Power Point Deck: 111 Slides

The purpose of this research is to provide readers with an understanding of financial advisor operating &/or partnership agreements, which include shareholder responsibilities and partner responsibilities. This topic is one in Tiburon's financial advisor planning & documents series.

This research begins with a review of the evolution of financial advisor operating &/or partnership agreements, including their history across these phases:

  • Early Phase
  • Haphazard Phase
  • Formalization Phase

This research defines distinct parts of operating agreements, including:

  • By Laws
  • Operating Agreements
  • Partnership Agreements

This research supports several conclusions, including:

    • Increasingly Sophisticated Financial Advisor Partner & Principal Agreements
    • Evolving Financial Advisor Operating &/or Partnership Agreements

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