Investment Adviser Registration (RIA Registration)

The regulatory structure for investment advisers is complex and confusing, even for the seasoned professionals.  The LeGaye Law Firm P.C. has substantial experience with RIA Registration, and has counseled investment managers, hedge fund advisers, and financial planners on the alternatives available in the structuring and registration of their RIA advisory activities, as well as providing on-going operational and compliance support, which allows you to efficiently address their regulatory and operational needs. The goal of The LeGaye Law Firm P.C. is to not only to obtain the respective registrations with the SEC and or state jurisdictions, but to also make sure you have the compliance tools necessary to successfully circumnavigate the regulatory environment, we also work with you to develop the following compliance tools:

  • IA Compliance Controls and Written Compliance Manuals
  • Codes of Ethics
    • A books and records retention program, which includes:
    • Personal trading records
    • Registration records
    • Bookkeeping records
    • Account ledgers
    • Client account files Client disclosure documents and privacy notices
  • Business continuity plan which incorporates regulatory concerns
  • Client contracts

For a more detailed discussion of the issues related to the registration of an investment adviser, please see the white paper prepared by The LeGaye Law Firm PC, “Investment adviser Registration and Regulatory Issues” or contact The LeGaye Law Firm P.C.