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Do I personally register as an investment advisor or should I establish a corporation or limited liability company?


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Most individuals establishing an investment advisor do so by establishing an entity such as a corporation or limited liability company and then serving in their individual capacity as an investment advisor representative (“IAR”) of their investment advisory firm; however, individuals can also establish an investment advisor as a sole proprietor. The protection offered to owners of an entity from general liability does not protect necessarily a securities principal from liability under the federal and state securities laws. You should consult with your legal counsel and tax professional regarding whether you should establish an entity and if so, the type of entity.

Click here to view a recording of our compliance consultant discussing registering an entity as an investment advisor.

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