Investment Adviser and Broker-Dealer Formation, Regulation and Compliance

Whether you are starting an advisory practice, maintaining and enhancing your compliance program and processes, or looking to monetize your practice through an asset purchase of merger, turn to Reymann Law Group to assist you wherever you are in your practice lifecycle.

Greg has extensive experience assisting investment adviser clients in connection with every aspect of their formation and initial registration, the drafting of advisory agreements and other required legal documents, routine ongoing compliance responsibilities, regulatory inquiries, complex litigation and advisory firm M&A. We counsel advisers of all sizes, ranging from multi-billion-dollar assets under management (“AUM”) SEC-registered firms to under $100 million AUM firms registered with various states.  Our firm provides customized compliance calendars, software to organize all documents, forms, and tasks, risk assessment and annual review tools, all SEC and state registrations and updates, and proactive consulting.