RIA Lawyers

TRUSTED COUNSEL FOR INVESTMENT ADVISERS

Who we are

Cary Kvitka, Max Schatzow, Ryan Walter, Jessica Carpenter, and Katie Blount are attorneys at RIA Lawyers. They each focus almost exclusively on representing registered and exempt investment advisers with legal, regulatory and compliance matters. Our attorneys are licensed in NJ, NY, PA, OH, and MS.

What we do

Our attorneys are ready to act as general counsel to your firm while focusing on ongoing regulatory compliance. Our goal is to be your partner to provide thoughtful, customized, legal and regulatory solutions, tailored to you, so that you can focus on what matters: serving your clients. 

How we operate

As attorneys, we don’t believe in “magic language” and the one-size-fits-all approach to the law or compliance. We recognize that each investment adviser, its clients, its personnel, and their needs are unique. We customize our services accordingly. Our attorneys will be your ongoing primary contact.

RESPONSIVE

We’re proud of our responsiveness. We understand the everyday pressures advisers face and defy the stereotype that attorneys are too busy to answer unscheduled calls or respond to an email the same day.

EXPERIENCED

During our partners’ 30+ years of combined legal experience, we’ve guided countless advisers through regulatory examinations and related events. From that, we’ve developed a deep knowledge base that exceeds published guidance, which we use for our clients’ benefit.

PRACTICAL

We strive to deliver practical legal counsel to take the fear and mystery out of regulatory compliance. We’ve heard advisers say “we don’t know, what we don’t know” far too many times. We formed RIA Lawyers to get to the root of that issue and offer tailored solutions.

PROACTIVE

Our goal is to help advisers identify and resolve potential issues, before they ever materialize. We stay informed about legal and regulatory developments and are able to guide our clients accordingly.

INTERESTED IN LEARNING MORE?

TRUSTED COUNSEL FOR INVESTMENT ADVISERS

OUR PEOPLE

OUR PRACTICE AREAS

Our People

Our Practice Areas

Cary Kvitka, Esq.

column2-image1Outsourced General Counsel

Max Schatzow, Esq. 

column2-image1Outsourced Compliance

 

Ryan Walter, Esq. 

column2-image1Adviser Transition / Breakaway

 

Jessica Carpenter, Esq., CFP®

column2-image1   Ongoing Counsel and Support

Katie Blount, Esq.

column2-image1   Private Fund Formation

Who We Serve

International

INVESTMENT ADVISERS

We serve as general and compliance counsel to RIAs for their entire life cycle: starting with breakaways and initial registration, through business sales and de-registration, and everything in between. In each phase, we offer customized solutions for the regulatory, legal, and risk management issues that invariably arise. We specialize in advising those clients to prepare for and survive regulatory examinations.

Partnerships

PRIVATE FUNDS

We advise clients on the formation, structuring, and ongoing regulatory compliance with private investment funds and SPVs. We advise on blue sky compliance. We also advise on ongoing operational and legal matters. We specialize in working with registered investment advisers to private investment funds and advise clients on preparing for and surviving regulatory examinations.

Excellence

FINTECH

We help fintech firms navigate the intersection of technology and regulation, ensuring their offerings are structured to reduce legal and regulatory risks. We guide them through the regulatory landscape of serving as, or working with, registered investment advisers. Our expertise includes drafting agreements, compliance policies and making necessary filings.

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INTERESTED IN LEARNING MORE?

Please click here to speak with one of our attorneys, to see if we may be a good fit.