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The Adviser Launch Process
United Atlantic Legal Services welcomes you to the fast growing and ever-changing investment adviser industry. As always, fortune favors the bold and you are on your way.
United Atlantic Legal Services is 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 after getting to know the details of every client’s business. The registered investment adviser industry has seen amazing growth over the last decade. United Atlantic Legal Services provides highly tailored but efficient registration services for financial professionals seeking to launch their own investment adviser firms. We have assisted entrepreneurs, established breakaway advisors and private fund managers in launching their own investment adviser firms and making their dreams come true. Please contact us by visiting our website at www.unitedatlanticls.com. Our initial consultation is always free.
When working with you through our Adviser Launch Process, we have three goals mind:
1. Efficiency
We understand that our efficiency is beneficial to both the investment adviser and United Atlantic Legal Services. The more we understand about your business early in the process, the more efficient we will be during the investment adviser registration process.
2. Transparency
Ensuring that you understand where you are at in the investment adviser registration process at all times is a constant priority for United Atlantic Legal Services. We clearly explain the process, help identify potential roadblocks and work closely with you to ensure that filings are made correctly and timely. Communication is key.
3. Tailored Solutions
Each investment adviser is different, and we work to ensure that your business is accurately reflected throughout the investment adviser registration process. We do not provide cookie-cutter services, but rather, United Atlantic Legal Services follows its holistic, highly tailored Adviser Launch Process designed to meet your specific business needs.
United Atlantic Legal Services would love the opportunity to work with you and your firm during its launch. We have the expertise and experience to navigate all types of investment advisers through the registration process and we look forward to learning more about you and your firm. In the following pages we cover what makes United Atlantic Legal Services different than other law firms: the Adviser Launch Process.
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FAQ
The Adviser Launch Process is designed to register your investment adviser firm as efficiently as possible. The length of the registration process depends on several considerations including how well prepared the investment adviser is and the SEC’s review process (which is typically no more than 45 days). Generally, UALS can complete a registration in as little as two months.
Yes. For those who are going through the personal registration process (for example studying for the Series 65 examination), UALS can begin the registration process while any personal registrations are pending. You do not need to wait.
It can be. UALS works hard to ensure that you understand where we are in the investment adviser registration process at all times. Further, UALS manages the more complicated aspects of the registration process so you can focus on getting your firm launched.
Packages begin at $20,000, which is usually broken into two payments. The first payment is due upon submission of the investment adviser application with the SEC. The second payment is due upon completion of firm’s regulatory policies and procedures.
Depends. If you already carry the required personal registration credentials, then the focus of your work will be on developing a business plan which is core to UALS’s ability to create a robust investment adviser registration application and associated compliance program documentation.
The investment adviser registration process can be complicated. As a law firm, UALS can support you through the entire process from entity formation to the registration application and on to the development of a comprehensive compliance program. Incorrect or inaccurate filings with the SEC can lead to delays or even the rejection of your investment adviser registration application.
Now. UALS provides a roadmap to getting registered, we get everyone on the same page, and we execute. We are ready when you are ready. Contact us today for a free consultation.