AdvisorLaw

Most people know AdvisorLaw for its reputation of protecting professional records—but did you know we’re also a full-service partner for private fund formation and compliance? 🏛️🚀

If you’re moving from managing accounts to launching a fund, you don’t need a massive law firm to get off the ground. We provide the structure you need without the big law overhead.

From formation to ongoing filings, we’ve got you covered. Whether you’re an ERA, RIA, CPO, or CTA, we make sure your fund is structured correctly and documented thoroughly from day one.

https://advisorlawllc.com/private-fund-formation-ongoing-compliance/

Now Offering: Private Fund Formation & Ongoing Compliance Services Launching a Private Fund? AdvisorLaw provides full-service solutions for fund formation, SEC/CFTC compliance, and CPO/CTA/RIA/ERA regulatory support.

Even if a court seals your record, FINRA might still be showing it to the world.

A Midwest advisor was carrying a high school disclosure that was legally sealed decades ago—plus two $100 checkbook errors from his youth. Tad Burton, J.D. cut through the administrative red tape to get all three marks removed.

The Result: The advisor went from having three disclosures to zero—in just weeks. Your BrokerCheck should reflect your career, not your childhood. 🛡️

https://advisorlawllc.com/finra-criminal-expungement-031022/

Midwest Advisor Successfully Expunges 3 Criminal Disclosures This advisor sought to expunge three criminal disclosures from his public records with FINRA Registration. In the early 2000s, the advisor accidentally wrote two bad checks — each under $100 — to two different vendors. The advisor was 20 years old at the time, and he didn’t manage his checkboo...

Your client list is your firm’s value. Is it actually protected?

The most expensive mistake an RIA owner can make happens after an advisor leaves the firm. Without a robust IAR agreement, client ownership is just an opinion—not a legal fact.

A truly defensible IAR agreement defines:

✅ ownership of relationships: clear, non-ambiguous clauses for firm stability
✅ supervisory structure: explicit reporting lines for audit readiness
✅ representations & warranties: keeping licenses and ethical standards current.

AdvisorLaw’s securities attorneys don’t do generic. We draft industry-specific protections that align with current regulatory expectations.

Protect your book. Protect your exit value. Protect your practice.

🔗 https://advisorlawllc.com/ria-compliance-generic-iar-agreement-risk