Investment Adviser Formation and Compliance

Financial Professionals planning to start their own Registered Investment Advisor need an experienced, reliable and sophisticated legal partner to structure, register and launch a new firm. Our lawyers can provide unique expertise to guide you every step of the way to independence, and to develop, implement and help you manage an effective regulatory compliance program customized for your business. Our services include:

• Review of any existing contractual obligations
• Advice on planning a successful transition

• Creation of a new legal entity (LLC, Partnership or corporation) that will become your new RIA
• Preparation and filing of Form ADV

• Preparation of client agreements and related documents
• Preparation of a customized compliance manual
• Support and training for the implementation of an effective compliance program

• Regularly scheduled interaction
• Review of Advertising and sales literature
• Assistance with the preparation of the Annual Compliance review
• Annual Filings

Attorney Matt Baum hosts RIAcast, a podcast focused on the investment advisory community. The podcast can be found at

Practice Contacts