Wealth Management HR Solutions | Compliance-Driven HR for RIAs
FINRA background checks, SEC-aligned fiduciary HR policies, and advisor retention strategies for RIAs, family offices, and wealth management firms in the nation.
HR Challenges Unique to Your Industry
- !FINRA U4/U5 background checks and disclosure review for registered advisors
- !SEC and fiduciary obligation aligned HR policies for all staff
- !Non-solicitation agreements protecting AUM and client relationships
- !Recruiting and retaining CFPs, CFAs, and experienced wealth advisors
- !Complex compensation structures including fees, bonuses, and equity
- !Background checks and financial history screening for all client-facing staff
- !Multi-state registration and compliance for advisors serving clients across state lines
How Catapult HR Helps
- +FINRA U4/U5 background checks and disclosure management for registered advisors
- +SEC and fiduciary obligation aligned HR and conduct policies
- +Client non-solicitation agreements for advisors and client service staff
- +Competitive compensation benchmarking for CFPs, CFAs, and advisory roles
- +Background checks and financial history screening for all client-facing employees
- +Multi-state advisor registration compliance support
- +Employment law guidance and HR compliance audits
HR Services for Wealth Management Employers
Expert support across the HR functions that matter most to your industry
FINRA Background Checks
U4/U5 background checks, disclosure review, and financial history screening for registered investment advisors.
Client Non-Solicitation Agreements
AUM-protective non-solicitation and client transition agreements for wealth advisors and service staff.
Advisor Compensation Benchmarking
CFP and CFA compensation analysis to retain top wealth management talent.
SEC-Aligned HR Policies
Fiduciary obligation aligned HR conduct and disclosure policies for RIA employees.
Employee Handbook
Wealth management handbooks covering fiduciary obligations, client confidentiality, and compliance conduct.
HR Compliance Audit
Full HR audit for RIAs and wealth management firms against SEC, FINRA, and Southeast employment standards.
“An advisor left and we had a vague non-solicitation clause that didn’t hold up. Catapult helped us rewrite our advisor agreements before the next hire.”
Managing Partner, RIA — $2.1B AUM, Charlotte, NC