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New Jersey Registered Investment Advisor (RIA) Firm

New Jersey Registered Investment Advisor (RIA) Firm & Investment Adviser Representative (IAR) Business Formation and State Registration Requirements

Registered Investment Advisor (RIA) FirmPuff & Cockerill represents Registered Investment Advisors, from small boutiques and single advisor businesses to multi-advisor companies, in forming a RIA business and complying with New Jersey’s registration requirements. Our firm provides a wide range of services to meet the legal, compliance and business needs of Registered Investment Advisors in the State of New Jersey. These services include advising on aspects of organization, registration and regulatory compliance matters.

Our attorneys can provide individualized consultation and documentation, as well as a broader array of matters, including but not limited to the following:

Business Formation

  • Formation of RIA

  • Registration with the State of New Jersey

  • IARD Registration

  • Form ADV Parts I and II compliance

  • Brochure rule compliance

  • Registration and regulatory filings and compliance

  • Drafting Service Agreements

  • Drafting Advisory Agreements

Entity formation and ownership structure

  • Corporate governance

  • Books and records

  • Contractual relations

  • Non-litigated disputes


  • Compliance policies, procedures and supervisory manual

  • Code of ethics

  • Client management agreement

  • Privacy policies

  • Business continuity plans

  • Social media usage and restrictions

  • Fiduciary requirements and exemptions

  • Regulator examinations and inquiries

  • Disciplinary proceedings and complaints

  • Disclosure statements

  • Annual filings

  • Annual registrations

Business succession and planning

  • Operating agreements

  • Partnership agreements

  • Estate planning

  • Buy & sell agreements and options

  • Shareholder agreements

Employment matters and employee relations

  • Employment and independent contractor agreements

  • Restrictive covenants

  • Employee handbook and policies

To schedule a consultation with one of our attorneys, please call (856) 845-0011 or email our office!

Message to Our Clients Amid Coronavirus OutbreakWe are open for business

Given the current circumstances associated with the coronavirus outbreak, we are providing an update of our operations. We are open for business.  To ensure the safety of our employees and clients, we have a skeleton crew of essential staff at our Woodbury Office, with the remaining attorneys and staff available for remote operations.

We remain available by phone and email as normal.  Our attorneys and staff working remotely have full access to our computer systems.  While we cannot, at this time, field personal meetings, we are available to discuss by phone and email.  Fortunately, Puff & Cockerill has a full access system to allow our attorneys and staff to work remotely to continue to assist our clients.

We stand ready to assist all of our clients and welcome any new clients to contact our office at 856-845-0011 or at  Our staff will field your call and direct you accordingly.

We will continue to address any changes to our state and local mandates amid the coronavirus outbreak.  Our thoughts are with everyone impacted and wish everyone health and safety.