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Registered Investment Advisors

From RIA formation to leadership succession planning, and beyond, FinTech Law is here for you every step of the way.

There’s a lot that goes into starting up as a registered investment advisor and every piece of the puzzle is important. You know you’ve got the experience and clients to create your own firm, but the in-depth navigation of SEC rules and regulations can be overwhelming. Don't get bogged down by the legal minutia. Through our decades of experience and trusted methods, FinTech Law will help you understand the pieces and see the big picture. Our team works to understand not only the goals of your firm, but also current trends in the global markets, and relevant regulatory frameworks to help you achieve ultimate success. We are here to offer a variety of services to ensure easy formation.

RIA Legal Services Can Include:

  • Formation and registration services

  • Outsourced general counsel services

  • Adviser Counsel service

  • Mergers and acquisitions

  • Succession planning

  • Transaction support

  • Regulatory advice

  • Compliance with Investment Advisers Act of 1940

Let's Talk RIAs
RIA legal service paper

With extensive experience in a variety of services for RIAs, FinTech Law is available to help with transaction support, regulatory advice, and compliance. FinTech can help even if you aren't based in the United States. FinTech Law has partners within a variety of international jurisdictions, including the Cayman Islands.

Legal services

Managing a RIA business may seem daunting but doesn't have to be difficult. FinTech Law can help you navigate it all. Give our team a call today.

Let's Talk RIAs