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Investment Adviser Registration

Package Price:

$4,000

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Package includes:
  • Assist in becoming a state/SEC investment adviser or exempt reporting adviser
  • Draft operating agreement for the firm
  • Assist in establishing firm IARD account
  • Assist in registering principals as investment adviser representatives (IAR)
  • File Parts 1 & 2 of the firm's ADV
  • Draft compliance manual (Code of Ethics, Anti-Money Laundering and Privacy policies and procedures etc. included)
  • Draft investment management contracts for each type of client, institutional and individuals through separate accounts
  • Filing/Registration fees NOT included
RIA/ERA Set Up
Keidi C. on ContractsCounsel
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5.0 (13)
Member Since:
August 25, 2021

Keidi C.

Principal Attorney
Free Consultation
Boston, MA
26 Yrs Experience
Licensed in MA, NY
New England Law | Boston

Keidi S. Carrington brings a wealth of legal knowledge and business experience in the financial services area with a particular focus on investment management. She is a former securities examiner at the United States Securities & Exchange Commission (SEC) and Associate Counsel at State Street Bank & Trust and has consulted for various investment houses and private investment entities. Her work has included developing a mutual fund that invested in equity securities of listed real estate investment trusts (REITs) and other listed real estate companies; establishing private equity and hedge funds that help clients raise capital by preparing offering materials, negotiating with prospective investors, preparing partnership and LLC operating agreements and advising on and documenting management arrangements; advising on the establishment of Initial Coin Offerings (ICOs/Token Offerings) and counseling SEC registered and state investment advisers regarding organizational structure and compliance. Ms. Carrington is a graduate of Johns Hopkins University with a B.A. in International Relations. She earned her Juris Doctorate from New England Law | Boston and her LL.M. in Banking and Financial Law from Boston University School of Law. She is admitted to practice in Massachusetts and New York. Currently, her practice focuses on assisting investors, start-ups, small and mid-size businesses with their legal needs in the areas of corporate and securities law.

Recent Review for Keidi C.

"I had a great experience with counselor Keidi. Very patient, timely, professional, and most learned. Provided valuable advice, and feedback. Highly recommended."
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Steps to Completing Project:

  1. After purchasing the package, tell Keidi C more about your requirements.
  2. Keidi C will complete the package and provide deliverables within the delivery timeframe.
  3. Review the work, release payment, and leave feedback for Keidi C
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  • 10 hours of legal services per month
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$400

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What's included:

  • 60-minute call re:
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Capital Raise/Fundraising Strategies Consultation

$1,125

Immediate Start

What's included:

  • 3 one-hour strategy sessions
  • review capital raise plans to ensure securities compliance
  • provide consultations regarding Regulation D private placements, JOBS Act - Regulstion A+ and Regulation CF crowdfunding
Keidi C.
Package Details:
Package Price:
$4,000
Turnaround Time:
30 days
What's included:
  • Assist in becoming a state/SEC investment adviser or exempt reporting adviser
  • Draft operating agreement for the firm
  • Assist in establishing firm IARD account
  • Assist in registering principals as investment adviser representatives (IAR)
  • File Parts 1 & 2 of the firm's ADV
  • Draft compliance manual (Code of Ethics, Anti-Money Laundering and Privacy policies and procedures etc. included)
  • Draft investment management contracts for each type of client, institutional and individuals through separate accounts
  • Filing/Registration fees NOT included
Buy Package

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