Investment Adviser Lawyer

An investment adviser lawyer will be able to help you in a broad range of services for investment advisers from the formation of the business to compliance with the day-to-day regulatory operations.

Investment adviser representatives have a broader definition under the New Regulations than the definition under the Advisers Act. Under the New Regulations, the investment adviser representatives include “any individual who represents a New York registered investment adviser, for compensation, that engages in the business of advising members of the public, either directly or through publications or writings within or from the State of New York, as to the value of securities or as to the advisability of investing in, purchasing, or selling or holding securities, or who, for compensation and as a part of a regular business issues or promulgates analyses or reports concerning securities to members of the public within or from the State of New York.” While the Advisers Act is limited to investment adviser representatives advising natural person clients, the New Regulations include investment adviser representatives advising juridical persons, such as corporations, partnerships, and LLCs.

What does an investment adviser lawyer do?

The investment adviser lawyer will help you with the following:

  • Formation of your investment adviser firm (partnership, LLC, or corporation)
  • Prepare and file Form ADV with accompanying narrative brochures and summaries to register your firm with the SEC and state security authorities
  • Register investment adviser representatives with New York authorities
  • Draft contracts and policies that the company will need in its day to day business operations, such as privacy policy, anti-money laundering procedures, investment management agreements, and disclosure documents
  • Prepare and file annual amendments to Form ADV to update the information filed
  • Advise on advertising rules, separate account arrangements, and other best practices
  • Represent investment advisers and their representatives on regulatory inquiries and discovery requests
  • Represent clients in litigation and arbitration
  • Assist the client in registering the offering of private funds by preparation private placement memoranda, subscription agreement, and other related materials

SEC’s role

Because investment advisers handle client’s wealth, investment advisers are subject to strict, thorough, and demanding regulatory compliances. When investment advisers experience substantial asset growth, they are subjected to a substantial increase in regulation. The SEC implements several regulations that ensure market integrity and investor protection, such as directing compliance with annual reports filing, annual audit, and providing rules for custody of client assets and withdrawal of funds or securities on the client’s behalf. Failure to observe these regulations can subject the investment advisers and its representatives to civil and criminal lawsuits on the federal and state level. An investment adviser representative can help guide you through the complex processes of investment advising that can ensure you are compliant and free from stiff and harsh penalties.

Should you need assistance, we, at the law offices of Albert Goodwin, are here for you. We have offices in New York City, Brooklyn, NY and Queens, NY. You can call us at 212-233-1233 or send us an email at [email protected].

Attorney Albert Goodwin

Law Offices of
Albert Goodwin, PLLC
31 W 34 Str, Suite 7058
New York, NY 10001

Tel. 212-233-1233

[email protected]

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