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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

  • 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!