Investment Adviser Counsel

Starting an investment advisory firm from the ground up and registering with the Securities and Exchange Commission (SEC) or individual state regulatory agencies is a complex process. The securities lawyers at Jacko Law Group (JLG) can help to simplify your formation process.

Legal Advice For Financial Advisers Starting An Investment Advisory Firm

JLG offers extensive experience in all aspects of investment advisory formation and financial adviser registration, including the application and online registration process. In addition, we offer the qualitative legal advice and ongoing legal support that advisers need to grow and thrive once the advisory business is up and running. The investment advisory services that our team of professionals provides include:

Formation Of Your Advisory Business

  • Corporate entity formation (LLC, S corp, C corp, LP, etc.)
  • Assistance in completing all registration forms, including Forms ADV Part 1 and 2, and submission to the SEC and appropriate states
  • Registering each person required to be licensed as an investment adviser representative based on state securities registration requirements
  • Creation of investment advisory contracts, financial planning agreements and solicitor arrangements
  • Reviewing of investment adviser performance advertising, sales literature and marketing materials, including website content and social media sites

Policies, Procedures And Risk Management

  • Develop customized written policies and procedures
  • Author codes of ethics that are customized to the investment adviser's business
  • Establish best execution, trade allocation and other practices
  • Author regulation S-P privacy notices and procedures
  • Development of proxy voting processes
  • Creation of business continuity, disaster recovery, cybersecurity and succession plans
  • Development and formulation of the annual review process

Ongoing Regulatory Compliance And Risk Management Assistance

  • Guidance on the development, implementation and maintenance of compliance programs
  • Creation of anti-money laundering controls
  • Review of responses to requests for proposal (RFPs) and questionnaires
  • Testing of compliance internal controls
  • Compliance with ERISA, Regulation S-P and other securities laws and regulations
  • Preparation for SEC examinations
  • Ongoing risk assessments
  • Due diligence of third-party service providers

Our attorneys also offer ongoing counsel to investment advisers concerning new products and services such as private funds, contract reviews, responses to regulatory inquiries and other investment advisory support services.

Contact An Investment Adviser Attorney For Regulatory Compliance Guidance

Jacko Law Group assists investment advisers throughout the United States during the formation stage and beyond, providing a full range of ongoing legal advice and support on all investment advisory services. For more information or to speak with a securities attorney, call our law office directly at 619-298-2880 or contact us online.