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Investment Management Legal Support for RIAs, Broker-Dealers, and Investment Funds
LawVisory is committed to offering top-notch legal representation and support to state and U.S. Securities and Exchange Commission (SEC) registered investment advisers (RIAs), broker-dealers, and investment funds. Our experienced team specializes in creating impactful investment agreements, managing sub-advisory relationships, and ensuring adherence to regulatory obligations like Form ADV.
Preparing an effective Investment Agreement
There are a number of arrangements between clients, their investment advisers and service providers. One common structure is the sub-advisory relationship, where the investment adviser engages the services of an external money manager to optimize the type of investment strategies, funds, investment programs and other investing opportunities that such an external money manager may offer.
One common structure is the sub-advisory relationship where the end-client engages the investment advisor who separately engages the sub-advisor to assist in managing the end client’s funds. Another common arrangement is where the client engages the investment advisor and also directly engages the external money manager as a third party asset manager (“TPAM”).
LawVisory has extensive experience in preparing the underlying investment advisory agreements for investment advisers (also known as asset management agreements), as well as sub-advisory agreements and third-party asset manager agreements.
Preparing required Disclosures and Registering Advisors
Form ADV is a filing used by investment advisers to register and to provide obligatory annual continuous disclosure reporting. The filing serves federally registered investment advisers and appropriate state securities regulators, including the District of Columbia, the U.S. Virgin Islands, and Puerto Rico. Form ADV, also known as the Uniform Application for Investment Advisor Application, is a critical document for registered investment advisors and “exempt reporting advisers.”
The Investment Adviser Brochure and its supplements are highly regulated disclosure documents that must be drafted in plain English and provided to new investment adviser’s clients.
The LawVisory team has substantial experience, as legal counsel and as Chief Compliance Officers in preparing Form ADV disclosures.
Assistance in picking the right business model
The right business entity and the appropriate team structuring depends on a mix of critical factors, including business objectives, location of business, residences of clients, expected revenue generation, inherent business risk and tax consequences.
LawVisory team has substantive, in-depth experience in advising and assisting clients with the business structuring of their businesses, whether the businesses are registered investment advisers (including independent RIAs), broker-dealers, and alternative trading platforms.
Contact Us
+1 202-854-0515
info@lawvisory.com
1250 Connecticut Ave NW #700, Washington, DC 20036