RIA / Investment Advisor Representation

Bakhtiari & Harrison provides legal services to Registered Investment Advisors (RIAs) and their associated persons. The law firm offers expert legal guidance and support throughout the various phases of investment advisor operations. We offer extensive experience in providing comprehensive counseling to RIAs, ensuring they navigate the complex landscape of investment advisory services with confidence.

At Bakhtiari & Harrison, we understand the critical importance of compliance, business management, and risk mitigation for Registered Investment Advisors. Our services are meticulously designed to assist RIAs during the initial formation stages, ensuring all regulatory and registration requirements are met. The law firm provides ongoing support for compliance matters, helping advisors maintain adherence to industry standards and regulatory expectations.

Our expertise also extends to managing employment issues within the context of RIAs. We offer strategic advice on employment contracts, dispute resolution, and transitional strategies for investment advisors looking to grow or modify their business structures. Whether you are starting a new advisory firm, managing transitions, or facing complex regulatory challenges, Bakhtiari & Harrison is equipped to deliver the legal solutions that Registered Investment Advisors need to succeed in a competitive financial landscape.

For more information concerning areas of routine representation:

• Customer Disputes
• Industry Disputes
• Employment
• Regulatory
• Registered Person Transition Between Firms