Thinking of Becoming an RIA?

We've helped hundreds of registered reps start their own firms and can guide you through RIA Compliance, SEC Filing, ADV Form and more.

E&W understands and can explain compliance issues and rules, helps complete registrations and filings, secures liability insurance and much more for our investment advisor firm clients. In doing so, we:

• Review, analyze and implement the appropriate supervisory and compliance structure
• Identify and recommend the appropriate organizational structure
• Pinpoint and complete requisite filing requirements, including the preparation and filing of Form ADV and applicable schedules, with the SEC and/or applicable state(s)
• Customize investment management and client agreements
• Prepare solicitor disclosures and agreements
• Brand customized policies and procedures manual(s)
• Develop business continuity plan
• Provide consulting/training services on applicable compliance issues
• Interface with the SEC and/or state securities regulators....and more.

For more information and to discuss your particular needs, contact
Sam Edgerton or Chad Weaver at 310 937 2066.

Edgerton and Weaver, LLP provides comprehensive legal services for financial institutions, retirement plans, and real estate firms worldwide. We also counsel and defend professionals, including accountants and attorneys, in malpractice and breach of fiduciary duty claims as well as regulatory enforcement actions.  

We manage client matters with direct attention from senior attorneys who possess extensive legal and industry-specific expertise.