Registered Investment Advisers (SEC & State Specific)

  • Registering RIAs and handling correspondence with the SEC and state securities departments;
  • Representation of a RIA during the course of a SEC examination with a myriad of deficiencies and resolving the same;
  • Representation of a state investment adviser operating without proper registration and working with the state regulator to overcome this deficiency without monetary punishment and/or detriment to the adviser's business;
  • Providing advice as to requirements under and compliance with the new surprise audit rules under Dodd-Frank Wall Street Reform and Consumer Protection Act;
  • Providing advice regarding the charging of performance fees from certain clients;
  • Reregistering a state-registered investment adviser with the SEC; and
  • Registering state investment advisers with key states, including New York, Connecticut, Texas, and Nevada, among others.