The 1940 Act Law Group provides expert legal counsel to the investment management industry. The 1940 Act Law Group was formed in 2010 with the mission to provide legal counsel within an evolving regulatory industry that allows for clients’ business growth and development. The 1940 Act Law Group has have adopted the new generation model for legal services, which allows highly experienced attorneys that know your business to provide responsive service and offer flexible billing programs — everything you expect from a large law firm but without having to deal with inexperienced associates, overhead, inefficiencies, and high billing rates. Our attorneys have worked in the investment management industry for 15 years or more in large law firms, in-house, and as regulators. We stay current on the legal and regulatory environment and can offer you practical advice on all aspects of mutual funds, exchange-traded funds, hedge funds, and more. In addition to our own expertise, we have an extensive network of colleagues in related businesses within the investment community and can help you make the connections you need.
The Law Offices of John H. Lively & Associates, Inc.
A member firm of The 1940 Act Law Group
2041 West 141st Terrace, Suite 119
Leawood, KS 66224
Direct Phone: 913.660.0778
Direct Fax: 913.660.9157
TradePMR provides Brokerage & Custody Services exclusively for Registered Investment Advisors practices and Investment Advisor Representatives. We assist our clients in the investment advisory industry to improve their profitability. We do this by reducing their fixed operational costs by leveraging state-of-the-art technology and sales solutions designed exclusively for RIAs.
-FREE Fee Billing & Processing
-FREE Advanced Trade Rebalancing Tools
-FREE Integrated Contact Management System
-FREE RIA Business Coaching
Frederick A. Van Den Abbeel
Executive Vice-President / RIA Services
San Francisco National Sales Office
Brokerage & Custody Services for RIAs
Financial Advisor Placement
StarPoint Consulting is the Financial Advisor Placement dedicated to pairing Financial Advisors and Investment Professionals with the best Broker Dealers, RIA’s, and Clearing firms that are the best fit for their business. We specialize in Broker Dealer and RIA transitions and assume responsibility for the due diligence, introductions and negotiations with potential firms. We have researched hundreds of independent, wirehouse, regional, bank, RIA, and custody firms and look at variables such as; payout, transition assistance, technology, compliance, business development, marketing, flexibility, and product differentiation.
Phillip R. Flakes
Toll Free: (866) 431-4848 x 102
Direct: (858) 246-7843
Cell: (858) 775-7316
Fax: (866) 616-0519