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The Adviser Assessment System

In this post we United Atlantic Legal Services discusses the Adviser Assessment System: legal and compliance acquisition due diligence for investment advisers.

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What is 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 efficienttransparent 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

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.

About Our Founder

Michael Rasmussen is the founder of United Atlantic Legal Services. He is a licensed attorney in Florida and registered solicitor in the United Kingdom. Michael has acted as General Counsel and Chief Compliance Officer to several investment advisers, including private fund managers, responsible for the management of billions of dollars in client assets.  

Michael is also the founder of FinProLaw, an online learning platform where Michael has created courses designed for investment adviser compliance professionals. These courses include: 

  • Investment Adviser Compliance Essential for Chief Compliance Officers 
  • Foundations of Investment Adviser Compliance 
  • What is a “Security”? 
  • Investment Adviser Marketing Rule 
  • Regulation A – Exemption from Registration 
  • Regulation Crowdfunding – Exemption from Registration 
  • Regulation D – Exemption from Registration 

Michael can also be found on LinkedIn.

Investment adviser firms who are also clients of United Atlantic Legal Services can receive many of these courses at a significantly reduced fee or, in some cases, at no expense. Contact us today or visit the FinProLaw to learn more.