I said that if $BTC dumps below $60,000, I’d give away $20,000 in Bitcoin to 15 people.
Well, we made it.
As promised, I’m giving away $20,000 in $BTC to 15 lucky winners today.
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I submitted an engagement request on May 12, but I’m not sure whether it went through successfully, so I’m resubmitting here.
I am a China-based investment adviser and the founder of Grand Family Office LLC, a Wyoming entity. I am seeking legal and compliance assistance to properly register as a U.S. investment adviser so that we can serve U.S. clients as well as international clients.
Our core business objective is to establish an adviser structure that allows us to open an advisor/master account with U.S. custodians such as Interactive Brokers and manage multiple separately owned client accounts under appropriate client authorizations.
We previously explored state investment adviser registration, but it appears that state registration may require a genuine U.S. physical office or local operating presence. After reading your blog, I understand that in certain circumstances an adviser without a U.S. office may be able to register directly with the SEC under an exemption/exception to the normal $100 million AUM threshold, including as a foreign adviser. I would like your firm to assess whether this path is available and appropriate for our situation.
The services we are seeking include a full legal and compliance roadmap, SEC vs. state registration analysis, IARD/Form ADV registration work, Form CRS if applicable, advisory agreements, compliance manual, privacy policy, custody/custodian-related compliance review, client onboarding documents, fee structure review, and ongoing compliance guidance.
If SEC registration is not available under our facts, we would also appreciate your advice on alternative compliant structures that would still allow us to work with U.S. custodians and manage separate client accounts.
We are looking for full registration and compliance support, not just a general consultation, and would be interested in engaging your firm if you believe this matter is a good fit.
Thank you.
Hi Chris, I submitted an engagement request through Beach Street Legal on May 12 regarding an investment adviser registration matter. I’m not sure whether it went through successfully, so I just wanted to follow up here. Would appreciate your guidance on the best way to reach your team. Thanks.