Are you acting as an Investment Advisor?
In today’s world of private deals, capital raising, and independent deal-making, it’s easier than ever for business leaders and sponsors to find themselves offering investment guidance—sometimes without even realizing it. Whether you’re advising on a potential acquisition, structuring a deal for outside investors, or helping others evaluate opportunities, there’s a good chance you’re providing advice about securities.
Here’s the catch: if you’re providing that advice for any form of compensation, you may be stepping squarely into regulated territory. Under both federal and state law, this could mean you’re required to register as an investment adviser—just like a professional wealth manager or fund manager.
Yes, even if your primary role is that of a founder, consultant, banker, or independent sponsor. Securities laws don’t focus on job titles—they focus on what you’re actually doing and whether you’re getting paid for it.
Are you acting as an Investment Advisor?
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