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Arcturus Law, LLC specializes in legal services for Registered Investment Advisors (RIAs), providing expert guidance on RIA registration, all elements of compliance program, compliance strategy and M&A with focus on federal securities laws. Arcturus Law serves a diverse range of clients including wealth management firms, financial planners, investment consultants, family offices, private fund sponsors, mutual fund advisors and private equity firms. Ensuring clarity and value in every engagement, Arcturus offers transparent hourly billing and flexible flat fee arrangements for select projects.

RIA Registration & Compliance

We assist RIAs with comprehensive registration services and ongoing compliance support. We ensure your firm meets SEC regulatory requirements, develops robust compliance programs, and navigates complex rules with confidence. We provide guidance on annual compliance testing, SEC filings and reporting, conflict mitigation, compliance with the marketing rule, surveillance program and other elements of an RIA compliance program. We guide you through evolving regulatory developments, helping you anticipate challenges rather than simply react to them. With Arcturus Law as your partner, you gain responsive, knowledgeable counsel dedicated to building a resilient and exam-ready compliance framework.

Mergers, Acquisitions & Strategic Advice

Arcturus Law advises on the regulatory aspects of mergers, acquisitions and business transitions. We assist clients in evaluating opportunities, due diligence and negotiation of transaction documents. Our focus is on helping structure transactions effectively, anticipate regulatory issues and align outcomes with strategic goals. We work to identify compliance risks and red flags early in the process, streamline regulatory side of a transaction and support post-transaction integration. By combining legal insight with a practical understanding of the RIA business model, we help ensure that each stage of the transaction advances both regulatory readiness and long-term business growth.

High-value, High-touch Targeted Projects

We deliver tailored compliance assessments designed to meet your firm where it is today and chart a clear path forward. Our gap reviews identify strengths and uncover areas of risk across your compliance program. For firms seeking deeper insight, we provide targeted reviews—focused evaluations of conflicts and critical functions such as trading, investments, marketing, referral programs or client onboarding. We also take on specialized projects—from implementing new SEC rules to launching new platforms and products.

RIA Essentials

Ideal for new and emerging Registered Investment Advisor (RIA) firms seeking foundational compliance and registration support. Perfect for wealth managers, financial planners, and investment consultants starting their practice.

Hourly billing or project based pricing.

Key Services Included

RIA registration assistance
Initial compliance program setup
Form ADV, U4 and other filings
Basic regulatory consultations
Surveillance setup

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RIA Growth

Best suited for growing RIAs, family offices, and private fund sponsors needing ongoing compliance and strategic legal support. Includes continuous guidance for evolving regulatory requirements and business changes.

Hourly billing or project based pricing.

What’s Included

Ongoing compliance management
Annual compliance program reviews
M&A and restructuring counsel
Complex regulatory filings
Strategic compliance advice
Analysis and disclosure/mitigation of conflicts
Roll-out of new products and platforms

RIA Enterprise

Designed for established RIAs and private equity firms requiring comprehensive, project-based legal and compliance solutions. Ideal for high-value transactions, audits, or bespoke projects with flat-fee options.

Custom Flat Fee.

Enterprise Solutions

Custom project-based legal services
Regulatory audit support
Mergers & acquisitions advisory
Negotiation and documentation support
Integration of compliance programs and advisory platforms

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Regulatory Compliance and Securities Attorney for RIAs

Our RIA-Focused Legal Services