--- title: Home description: We provide RIA registration, compliance, and M&A legal services to investment advisors and firms with transparent hourly or fixed fees. --- [Skip to content](https://arcturus.law#main-content) ![AL\_Horizontal\_Standard](https://arcturus.law/hs-fs/hubfs/AL_Horizontal_Standard.png?width=32270&height=15000&name=AL_Horizontal_Standard.png)Homepage - [Services](https://www.arcturus.law/?hsLang=en#services) - [About](https://www.arcturus.law/?hsLang=en#about) [Contact Us](mailto:iryna@arcturus.law) - [Services](https://www.arcturus.law/?hsLang=en#services) - [About](https://www.arcturus.law/?hsLang=en#about) [Contact Us](mailto:iryna@arcturus.law) ##### Regulatory Compliance and Securities Attorney for RIAs 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. [Contact Arcturus Law](mailto:iryna@arcturus.law) ![AL\_Horizontal\_Standard](https://arcturus.law/hs-fs/hubfs/AL_Horizontal_Standard.png?width=2000&height=929&name=AL_Horizontal_Standard.png "AL_Horizontal_Standard") Arcturus Law delivers tailored legal guidance for Registered Investment Advisors, ensuring regulatory compliance, strategic growth and peace of mind. ## Our RIA-Focused Legal Services ### 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 [Get Started](mailto:iryna@arcturus.law) ## 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 [Contact Us](mailto:iryna@arcturus.law) ## 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 [Request Proposal](mailto:iryna@arcturus.law) ## Contact Arcturus Law Have questions about RIA compliance or strategic legal & M&A advice? Arcturus Law is ready to help. Complete the form below and our team will be in touch promptly to discuss your needs or schedule a consultation. # Arcturus Law, LLC - [Services](https://www.arcturus.law/?hsLang=en#services) - [About](https://www.arcturus.law/?hsLang=en#about) --- The materials and links on this website are for informational purposes only. The transmission and display of the information contained at, or accessed through, this website is not intended to create, and receipt or viewing does not constitute, an attorney-client relationship. Since we are not providing legal advice through this website, you should not act upon any information you might receive from it without seeking professional counsel. Hiring an attorney is an important decision that should not be based solely upon advertisements. If you are interested in possibly retaining us, we will be delighted to send you additional information about our qualifications, experience, and standard terms of engagement. Please do not send us any confidential information without first speaking with us and receiving explicit authorization to send us the information. This website is not intended to constitute advertising. Under the applicable laws, regulations, and ethical rules of some jurisdictions, however, the contents of this website might be deemed to constitute advertising. We do not wish to represent anyone desiring representation based upon viewing this website in one of those jurisdictions. If you contact us for the purpose of becoming a client, please be aware that the attorney-client privilege will not apply until and unless you become a client. Although this website may be viewed from any of the 50 United States of America and territories, as well as any other country, the Firm is based in Missouri and practices principally from Missouri. Lawyers named on the website are authorized to practice law in jurisdictions where the Firm maintains offices. 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