Investment Adviser Regulation

We provide a number of services to Investment Advisers. Our clients include investment advisers as well as private funds.

Merchant Law Firm advises clients with respect to all investment adviser regulatory and compliance matters, including:
• Compliance with the Investment Advisers Act of 1940 and all other federal and state securities laws;
• Formation of Investment Advisory firms;
• Registration of Advisers with the SEC and States;
• Form ADV drafting and review;
• Drafting and review of investment advisory and service provider contracts; and
• Review of marketing and advertising materials (including performance advertising).

If you are an investment adviser or contemplating forming an investment advisory firm, please call (480) 347-1250 or email admin@merchantlawaz.com to consult with an experienced attorney.

Contact Us

CALL FOR YOUR FREE INITIAL CONSULTATION

(480) 347-1250

CONTACT US

1400 E. Southern Ave., Suite 620 Tempe, Arizona 85282
Phone: (480) 347-1250
Fax: (480) 347-1201
Email: admin@merchantlawaz.com