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Under the Investment Advisors Act, an investment advisor is defined as a person who, for compensation, engages in the business of advising others concerning the value of securities.

This definition includes individuals that hold themselves out as providing advice on buying and selling securities or individuals that advertise themselves as an investment adviser, a financial planner, or an investment manager. If you fall within this definition, you are required to register with the SEC unless an exception applies.

Exceptions to this registration requirement include banks and bank holding companies, certain professionals, broker-dealers, publishers, family offices, credit rating agencies, and government agencies and their employees.

Advisors Act Registration

In order to register as an investment advisor with the SEC, you are required to submit Form ADV using the Investment Advisor Registration Depository (IARD) filing system. The SEC will respond to your filing within 45 days, either permitting registration or requiring further administrative inquiry. Certain statutory disqualifications exist, including false statements made in the registration process, felony convictions, and/or violations of state or federal securities law.

Legal Services

We provide services aimed at facilitating compliance with regulatory obligations, including:

  • Advising on SEC examinations and compliance risk factors,
  • Reviewing your activities to determine whether you are subject to investment advisor regulations;
  • Determining whether exemptions may be applicable;
  • Guidance in developing a robust compliance program;
  • Assistance in complying with investment adviser registration requirements; and
  • Investor relations matters.

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