Financial Advisor Legal Advice

As a potential or current investment adviser, you could encounter a seemingly endless number of complex, changeable laws, compliance & regulations. To ensure that your business operations continue to run smoothly, being proactive and complying with the various state and federal securities laws is imperative.

That’s where we come in. At Jacko Law Group, PC (“JLG”), we have extensive, on-the-ground experience in all aspects of the investment advisory industry. Whether you’re ready to start your own advisory firm or grow your current book of business, we are here to help you navigate every step of the way. If your company is new, we know how to make the registration process simple and painless for you. If your firm is already established, we will provide the qualitative legal advice and ongoing support that your business needs to grow and thrive.

Our investment advisory services include everything involved in business formation, such as corporate entity formation, assistance with registration forms, creation of contracts and agreements, and marketing compliance reviews. We also develop policies and procedures, including risk management considerations. Examples of these are codes of ethics, sales practices, trading and portfolio management, privacy considerations, business continuity plans, and annual review processes.

JLG offers ongoing regulatory compliance and risk management assistance to keep your growing business on the right path. We can guide you on the development and implementation of compliance programs, provide counsel related to hybrid RIAs, assess your compliance with securities laws in general, help you prepare for SEC examinations, assist with onboarding new advisers, consult on succession planning, and much more. And if you require counsel on launching new products and services such as pooled investment vehicles, contract drafting and/or reviews, or responses to regulatory inquiries, JLG is here to support you.

Exempt Reporting Adviser (ERA) Requirements

Depending upon the jurisdictional requirements (generally speaking), if they qualify for an exemption, advisers to funds can file as an Exempt Reporting Adviser (ERA) or register as an investment adviser. Let our attorneys advise you on these regulations and how they may impact your fund.

Legal Risk Management Tips

Starting your own investment advisor firm?