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The Adviser Assessment System
Are you considering acquiring a registered investment adviser? Are you looking to position yourself favorably to be acquired? Are you confident with your legal and regulatory exposure in the acquisition process? United Atlantic Legal Services has the experience and knowledge to guide you through the investment adviser acquisition process. United Atlantic Legal Services is confident that its Adviser Assessment System gives buyers and sellers of investment adviser firms confidence that they have identified legal and regulatory risks before the acquisition close.
The Adviser Assessment System is brought to by United Atlantic Legal Services, a boutique law firm focused on providing exceptional services to its investment adviser and private fund manager clients. We are dedicated to maintaining an efficient, transparent practice that is focused on providing tailored solutions to our clients. The registered investment adviser industry has seen amazing growth over the last decade. Due diligence regarding legal and compliance acquisitions has become an absolute necessity for investment adviser firms looking to acquire other investment advisers and for those investment advisers looking to place themselves on the market wanting to present prospective purchasers with a clean legal and compliance bill of health. We would love to discuss your goals with you! The initial consultation is always free. Please contact us by visiting our website at www.unitedatlanticls.com.
When working with you through the entire Adviser Assessment System, we have three goals mind:
1. Efficiency.
United Atlantic Legal Services understands that our efficiency is beneficial to both our investment adviser clients and United Atlantic Legal Services. The more we understand about your business’ acquisition objectives early on, the more efficient we will be throughout the Adviser Assessment System.
2. Transparency.
Ensuring that you understand where we are at in the legal and compliance assessment process at all times is a constant priority for United Atlantic Legal Services. We clearly explain the Adviser Assessment System, help identify potential road blocks and work closely with you to ensure that the legal and compliance acquisition assessments are as robust and detailed as you need to make an appropriate risk assessment. Communication is key.
3. Tailored Solutions.
Each investment adviser is different, and we work to ensure that your business’s acquisition goals are clearly reflected throughout the legal and compliance acquisition assessment process. We do not provide cookie-cutter assessment services, but rather, United Atlantic Legal Services provides the holistic, highly tailored Adviser Assessment System designed to meet your specific business needs.
United Atlantic Legal Services would love the opportunity to work with you and your firm during its legal and compliance acquisition due diligence process. We have the expertise and experience to navigate all types of investment advisers through the process and we look forward to learning more about you and your firm. In the following pages we cover exactly how the Adviser Assessment System can help you.
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FAQ
Typically, UALS seeks to complete an assessment within two months. However, this can vary wildly depending on the size and scope of the assessment and how quickly requested documents are provided to UALS. Efficiency is always a key priority of the Adviser Assessment System.
The Adviser Assessment System package starts at $20,000 but is highly tailored for the individual needs of our clients.
UALS’s Adviser Assessment System takes a holistic approach to its legal and compliance risk due diligence. UALS will look at the assessed investment adviser’s public disclosure documents (such as the ADV Disclosure Brochure), internal legal and compliance controls, and relevant contractual obligations. The assessment also provides guidance on how identified risks can be removed or mitigated.
Absolutely! UALS works with investment advisers that are looking to position themselves competitively in the market and want to present potential purchasers with a “clean bill of health”. UALS’s Adviser Assessment System produces a comprehensive report that allows you to confidently understand the legal and compliance risks associated with your firm.
As UALS is a law firm, the work conducted as part of the Adviser Assessment System is attorney related work product and therefore could be considered confidential.
Now. Whether you are looking to buy or sell an investment adviser, now is the time to begin the process. UALS often discovers legal and compliance risks that take time to fix or mitigate and it is always best to start the process early.
UALS has developed its Adviser Assessment System to provide investment advisers with efficient, transparent and tailored legal and compliance risk acquisition due diligence. We understand the investment adviser industry and we have the experience to work with investment advisers of all shapes and sizes throughout the entire process.