Investment Advisor Representation

Investment Advisor Representation

Businesswoman in real estate mortgage conceptRegistration and Compliance

Hutner Klarish LLP provides a full range of legal and compliance services targeted to the needs of our investment advisory clients. We handle all aspects of SEC and/or state registration requirements and initial and periodic filings for registered investment advisors and exempt reporting investment advisors, including Form ADV, Form PF and privacy policies. Clients benefit from our ability to provide personalized legal and compliance services in a structure that contains costs but never cuts corners.

We work with clients to create compliance programs, including preparation of easy-to follow compliance manuals that describe the practices and procedures needed to ensure that Clients fulfill their compliance responsibilities and are always prepared for a surprise regulatory examination or investor due diligence inquiry. We take the time to understand your business and provide customized advice and tailored solutions, not off-the-shelf or one-size-fits-all documents.