CARR BUTTERFIELD, LLC serves over 175 investment advisory firms ranging from large SEC-based investment advisory firms to state based solo operations. Unlike many law firms with limited or more generalized experience, we specialize in the specific legal, risk management, and regulatory issues facing today's registered investment advisors.
REGULATORY AND COMPLIANCE SERVICES:
- Initial consultations to address foundational issues and concerns
- Assist with SEC and state registrations; electronically file & amend form ADV with the SEC and appropriate state securities regulators
- Negotiate with the SEC and state examiners to cure filing deficiencies
- Prepare U-4 and U-5 forms for all investment advisor representatives
- Draft investment advisory agreements, financial planning agreements, business consulting agreements, privacy statements, and compliance manuals, all which have survived SEC scrutiny
- Advice regarding compliance and best practices with ethics and professional conduct rules