RIA Contracts and Agreements

The securities and financial industry requires legal contracts be negotiated, agreements drafted and records maintained, both for business and legal regulatory functions. Our affiliate, The LeGaye Law Firm, has extensive experience in investment advisory issues that allows us to bring a unique mix of industry and regulatory experience to assist our clients in avoiding legal and regulatory problems and efficiently implementing and managing corporate agreements, contracts and other necessary forms of documentation.

Legal services offered through The LeGaye Law Firm includes advice related to the negotiation and drafting of contracts or agreements, a review of proposed or existing contracts, agreements and other documents to ensure compliance with current legal regulatory requirements. The following is a representative summary of some of the various contracts and other legal documents that The LeGaye Law Firm can negotiate, draft, evaluate or revise:

  • Investment Adviser Client Contracts
  • Sub-Advisory Agreements
  • Investment Adviser Independent Contractor Agreements
  • Investment Adviser Employee Agreements
  • Solicitor’s Agreements and Solicitor’s Disclosure Document
  • Third-Party Service Provider Contracts
  • Non-Disclosure Agreements
  • Wrap Program Agreements
  • Operating Agreements