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Investment Adviser Regulation

Merchant Law Firm PLLC > 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).

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