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Comprehensive Legal Services for RIAs in New Jersey
Puff, Sierzega & MacFeeters represents Registered Investment Advisors, from small boutiques and single-advisor businesses to multi-advisor companies, in forming an RIA business and complying with New Jersey’s registration requirements. Our firm offers a comprehensive range of business law services tailored to meet the legal, compliance, and business needs of Registered Investment Advisors in New Jersey. These services include advising on aspects of organization, registration, and regulatory compliance matters.
RIA Contracts, Disputes, and Business Formation
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 contact us online.