At the Law Office of Kelli A. Haugh, PLLC, we offer a wide range of services tailored to the specific needs of registered investment advisers (RIAs). Our offerings include:
RIA Registration: We streamline the process of registering your firm as a Registered Investment Adviser (RIA) with state and/or federal regulators. From guiding you through crucial pre-launch business decisions to preparing and filing regulatory documentation, we provide support to get your firm up and running as efficiently as possible. Whether you're starting a new firm or transitioning to an RIA structure, we handle the details so you can focus on growing your business.
New Entity Formation: We provide support in creating and structuring new advisory firms, including the formation of the corporate entity that best suits your business goals.
Service and Referral Agreements: We can create, or review, investment advisory service agreements, referral agreements, or third-party agreements tailored to your firm's business model.
Regulatory and Corporate Filings: Keeping up with the numerous regulatory and corporate filing requirements is essential for maintaining your firm's compliance and avoiding costly penalties. Our filings service is designed to help you manage the necessary filings to ensure that your firm remains in compliance with state and federal regulations. Filings can include Form ADV updates, annual renewals, and any other required disclosures. In addition to routine filings, we can also manage any special filings that may arise due to changes in your business, such as mergers, acquisitions, or changes in ownership structure.
SEC & State Regulatory Consulting: We offer guidance on adhering to the complex requirements set forth by the SEC and related state regulations, including rules around fiduciary duty, disclosure obligations, and the proper management of client assets. We can help guide you in implementing the necessary compliance measures. We also offer ongoing support to help your firm maintain an effective compliance program that is in line with the latest regulatory changes.