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Practice Areas>>Investment Adviser Counsel>>Investment Adviser Formation Services
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Broker-Dealer Counsel>>Broker-Dealer Formation Services
Regulatory Examinations and Enforcement Counsel
Broker-Dealer: Regulatory Compliance Services
Client Contracts, Independent Contractor & Employee Agreements and Other Documents
Form BD and Disclosure Documents
Termination and Form U5 Counsel
Due Diligence Counsel Services
Private Equity/Hedge Fund Counsel>>Private Equity Compliance Services
Private Fund Counsel Services
SEC/State Regulatory Counsel>>Regulatory Examinations and Enforcement Counsel
Mock SEC Exams
Form ADV and Disclosure Documents
SEC/State: Regulatory Compliance Services
Risk Assessments and Annual Reviews
FINRA Regulatory Counsel>>Expungements
Regulatory Examinations and Enforcement Counsel
FINRA Regulatory Counsel: Regulatory Compliance Services
Expert Witness Services
Compliance Programming Documents
Assessment/Needs Analysis
Independent Contractor and Employee Agreements
Breakaways and Transitions>>Transitioning or Breaking Away Services>>Advisors Breaking Away
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Advisors Owning Their Own Business
Advisors Selling a Practice / Succession Planning
Corporate Entity Formations
Investment Adviser/Broker-Dealer Formation Services
Strategic Counsel for New Business Models
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Financial Professional Counsel
Succession Planning>>Succession Plan Counsel and Agreements
Corporate Governance
Valuation Counsel
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Corporate Counsel Services>>Onsite General Counsel Services
Corporate Entity Formation
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