Starting an investment advisory firm from the ground up and registering with the SEC or states can be a complicated process. Let JLG help to simplify the formation process.
JLG offers extensive experience in all aspects of investment adviser formation and registration, including the application and on-line registration process. In addition, we offer the qualitative legal advice and ongoing legal support that our clients need to grow and thrive once their businesses are up and running. The services our team of professionals can provide includes:
- Corporate formation (LLC, S-Corp, C-Corp, LP, etc.)
- Assistance in completing all registration forms, submission of supporting documentation and filing with the SEC and appropriate state offices
- Preparing and registering each person required to be an investment adviser representative based on state securities registration requirements
- Developing customized written policies and procedures
- Authoring of Form ADV Part II (client disclosure brochure)
- Development, implementation and maintenance of compliance programs
- Creation of investment advisory contracts, financial planning and solicitor's agreements
- Developing Codes of Ethics customized to the client's business
- Creation of Anti-Money Laundering processes
- Establishment of best execution and trade allocation practices
- Development of proxy voting processes
- Authoring of Regulation S-P policies (privacy policy) notices
- Creation of business continuity, disaster recovery and succession plans
- Review of investment adviser performance advertising, sales literature and marketing materials, including website content
- Review of responses to Requests for Proposal (RFPs) and questionnaires
- Development of compliance program and the annual review process
- Preparation for SEC examinations
- Creation of compliance program testing and on-going risk assessments
- Due diligence of third party service providers
- Ongoing counsel for new products and service offerings (such as hedge funds)
Jacko Law Group, PC assists investment adviser clients 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 — contact our San Diego law office directly at 619-298-2880 or contact us online.
Suite 208