Investment Advisers

Riveles Law Group advises clients on the many legal and compliance issues facing registered investment advisers and their affiliates. We offer comprehensive legal services to investment advisors, with expertise in regulations under the Investment Advisers Act of 1940, state investment advisory laws and FINRA rules and regulations.

RLG counsels investment advisers on the following regulatory and compliance matters:

  • Determining investment adviser registration requirements and identifying applicable exemptions under federal and state laws.
  • Registering with state securities authorities and/or the SEC and coordinating with regulatory authorities during the application process.
  • Assisting with regulatory examinations, deficiency letters, and administrative actions applicable to registered investment advisors and investment advisor representatives.
  • Providing advice and assistance in the development of compliance programs, written compliance procedures, codes of ethics, and continuing education programs.
  • Preparing and reviewing investment management agreements and customer disclosure documents.
  • Reviewing and providing counsel on advertisements, marketing materials, and performance reports and presentations.
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