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Our MISSION is to help you, a firm or solo advisor, navigate the legal complexities of the RIA world. VISION Our VISION is to see advisers fulfilling their purpose in life without the stress of managing regulations and the worry that their livelihood will be taken away. RIA Firms. The attorneys of Kupfer & Associates have assisted hundreds of registered investment advisory firms and industry service and aggregator platforms to launch, grow and exit. At Kupfer & Associates we work with RIA firms through every stage of development of their business – from working with break-away brokers on their transition to Our RIA compliance attorneys represent firms and individuals with regard to their employment contracts, as well as any disputes that arise due to a strain in an employment relationship. Often, investment adviser representatives and registered representatives have unique relationships with their employers or their independent contracting firms.
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We represent investment advisers, broker-dealers, registered representatives, hedge funds, and issuers of securities, among others. RIA Firms. The attorneys of Kupfer & Associates have assisted hundreds of registered investment advisory firms and industry service and aggregator platforms to launch, grow and exit. At Kupfer & Associates we work with RIA firms through every stage of development of their business – from working with break-away brokers on their transition to independence, to creating, designing and structuring new firms and platforms through our whiteboarding sessions, strategic advice and legal Miller Canfield provides a full range of services to meet the legal, compliance, and business needs of registered investment advisors. We help our clients meet their challenges and realize their opportunities. We provide individualized consultation and documentation, as well as customized solutions for our advisor clients.
Otherwise, you may submit a request using an authorized agent only if (1) you 21 Jun 2019 An RIA'S Communications with Attorney Consultants Associated with its Outside Compliance Firm are Always Privileged, RIGHT? Well, That Investment Adviser Registration · Written Compliance Policies and Procedures · Mock Regulatory Exams and Risk Assessments · Contracts and Agreements · RIA 18 Mar 2021 Her attorney, Kwame Manley, did not respond to a request for comment.
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As the ONLY law firm SOLELY focused on RIAs, we are here to ensure It quickly becomes clear that your RIA firm needs a securities attorney in addition to a compliance consultant, in order to ensure that all regulatory requirements and deadlines are being met. Fortunately, for about the same cost as a compliance consultant elsewhere, you can hire a proactive team that includes both a compliance specialist and a regulatory attorney . Mr. Gort specializes in providing regulatory and compliance-related services to registered investment advisers (“RIAs”).
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2️⃣ How long have you been practicing as a lawyer? Attorney Access Unlike common online RIA compliance services, we assign you a real lawyer, not a login. Your attorney will be able to answer any and all of your questions. Should you need any additional services over the years, such as buy/sell
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16 timmar sedan · For a possible summit between Russian President Vladimir Putin and his U.S. counterpart Joe Biden to take place, a lot depends on the United States' further actions, RIA cited Russia's Deputy I dag · MOSCOW (Reuters) -U.S.