Max and Stark & Stark, PC provide legal and regulatory counsel to registered investment advisers and those contemplating going independent. We serve as outside general and specialized counsel to businesses that render investment advice.
Want tailored legal and regulatory advice? We don’t believe in a one-size-fits-all approach to the law or compliance. Our job is to make sure that you can do your job and to protect your business’s reputation.
We represent some of the largest, independent, investment advisers in the country. We also represent countless advisers who have broken away from wirehouses (e.g., Merrill Lynch, Wells Fargo, UBS, JP Morgan, Morgan Stanley) to gain their independence.
Whether your are contemplating the decision to go independent, want a second opinion, or whether you are already independent and are seeking new representation, feel free to contact me.
Whether forming a new business operation, hiring a new adviser, launching a new fund, merging or spinning off, we can help.
Questions on interpreting difficult legal questions? Seeking guidance on best practices or with establishing policies and procedures, reach out!
Need help enforcing a restrictive covenant (non-solicit)? Have a client that is threatening a lawsuit or to report you to the regulatory authorities? We handle these issues on a regular basis.