Investment Advisor Representation
- Advise new investment advisory businesses on the best structure from a legal/tax perspective: limited liability company or limited liability limited partnership.
- File Form ADV with the Securities and Exchange Commission/State Securities Regulatory Agencies.
- Write client brochures incorporating the requirements of part II of Form ADV.
- Provide advice to investment advisers on record retention matters.
- Provide advice to investment advisers on regulatory compliance matters.
- Wrote the 1990 and 1995 Record Retention Guide for Financial Institutions for a previous employer.