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
- Filing and amendment of 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, planning agreements, insider trading policies, privacy statements, and best execution policy statements, which have survived SEC scrutiny