Registered Investment Adviser Lawyers and Compliance Lawyers Available for Investment Advisory Firms , Hedge Funds and Investment Partnerships

Investment Advisory Firm and On-Going Compliance Lawyers
A Registered Investment Adviser (RIA) is an individual or entity who holds himself/herself/itself out to the public as a provider of investment advice. As more and more businesses are transferring from a commission to fee-based platform for financial planning and asset management, the need for registered investment advisers continues to grow as well as the need for registers investment advisor lawyers. Registration with the SEC or applicable states is required of anyone who, for compensation and as part of a business, gives advice, makes recommendations, issues reports or furnishes analysis on securities either directly or through publications. Based on stringent SEC mandates and requirements, many investment advisers have turned to our investment advisory firm counsel for help in this important area.

Our investment advisory lawyers provide services for hedge funds and investment advisory firms, both existing and in formation. We also provide on-going legal counsel for investment advisers already registered.

For our hedge fund and investment partnership clients, regardless if you decide to register with the SEC, we will help evaluate your business model and provide guidance on your legal and compliance requirements through our compliance lawyers.

Shustak Frost & Partners guides newly registering investment advisers through the entire process including application, registration and on-going compliance and support thereafter. Our registered investment adviser lawyers and compliance lawyers offer services that include:

• Assistance in completion of all registration forms, submission of supporting documentation and filing with the SEC and/ or appropriate state offices
• Preparing and registering each person required to be an investment adviser representative based on state securities registration requirements
• Developing customized written policies and procedures
• Creation and Maintenance of Form ADV Part II (Client Brochure)
• Producing compliance training programs
• Creation of investment advisory/ management agreements and contracts
• Developing IA Codes of Ethics customized to the client firm's business
• Anti-money laundering processes
• Best Execution and trade allocations
• Proxy voting processes
• Regulation S-P policies (Privacy Policy)
• Business continuity and succession plans
• IA advertising and marketing reviews
• Compliance Program Testing
• Mock SEC Examinations
• Internal Audits
• Due Diligence of third party service providers
• Annual Compliance Program Review Reports

Investment Advisory Firm Transitions
One of the most challenging aspects in a representative's career is moving from an established investment advisory firm to his or her own start-up advisory business. Shustak Frost & Partners is here to help and provides the following services:

• Consult on new business plan
• Advise on business structure
• Formulate the business structure
• Counsel on state and federal securities laws, rules, regulations and requirements
• Review of legal agreements with current employer and formulate legal, bullet proof "exit strategies"
• Review and drafting of Forms ADV
• Formation of new client agreements (including investment policy statements and financial plans)
• Registration with regulators and state agencies
• Development of policies and procedures for new independent practice
• On-going testing of your compliance program

Registered Investment Adviser Lawyers Assist Mergers and Divestitures
For those registered investment advisers looking to change existing ownership, Shustak Frost & Partners can assist with regulatory filings and communications with the regulators. We have served as registered investment advisory lawyers to numerous successful individuals as well as firms. These advisers turn to Shustak Frost & Partners for advice on a variety of services such as:

• Mergers and acquisitions
• Selling the advisory practice (succession planning)
• Solicitors and Referral Agreements
• Disclosure Documents
• Regulatory Responses
• Notice Filings on Form ADV Part 1
• Creation and Maintenance of Form ADV Part II, including Schedule F (Disclosure Brochure) and where applicable, Schedule H (Wrap-fee Brochure)
• Consent letters to clients and third-party service providers

Compliance Lawyers aid in Dispute Resolution
We also represent Registered Investment Advisers in defending them against claims by customers and disciplinary and regulartory actions by administrative agencies, including the Securities and Exchange Commission, FINRA (formerly the NASD), NYSE, NFA and all of the State securities regulators. We have extensive experience as expungement lawyers helping Registered Representatives keep their CRD records clean of negative reportings and unfounded customer complaints.

Let our registered investment adviser lawyers in San Diego, California and New York City help you with your formation, compliance and dispute problems. Whatever your firm needs, whether it is legal counsel, compliance lawyers or both, Shustak Frost & Partners can help streamline, simplify and get you through these timely and complex processes. For more information, please contact us at email@shufirm.com