WHOM WE SERVEInvestment Advisers

Advice on all matters of compliance with the U.S. Investment Advisers Act of 1940

As an investment adviser, you’re focused on helping your clients preserve capital and growing their investment returns. Whether your clients are institutional investors or retail clients saving for retirement, you can’t afford to get tripped up by the complexities of financial regulation. Whether it’s securities laws, investment adviser regulation, or fiduciary duties, we have extensive experience working with investment advisers and providing legal support that’s tailored to your specific needs. We help investment advisers succeed by providing practical and effective legal solutions that allow you to focus on managing your clients’ assets.

Business Formations

Business Formations

Choice of entity, corporate filings, tax filings, and corporate governance formalities
Employment

Employment

Independent contractor agreements, employment offer letters, employment agreements, and non-compete agreements
General Corporate Advice

General Corporate Advice

Commercial agreements, non-disclosure agreements, master services agreements, statements of work, SaaS agreements, and joint venture agreements
Securities Offerings

Securities Offerings

Private offerings under Regulation D and crowdfunding under Regulation CF
Business Succession Planning

Business Succession Planning

Business succession plans, sell-downs to partners, ESOPs, and business sales
Mergers and Acquisitions

Mergers and Acquisitions

Non-disclosure agreements, letters of intent, term sheets, due diligence, purchases and sales of businesses through asset sales, stock sales, and mergers
Regulatory Advice

Regulatory Advice

Financial regulatory compliance
Investment Counsel

Investment Counsel

Negotiation of investment agreements in private companies and investment funds
Fractional General Counsel

Fractional General Counsel

Holistic legal and business advisor to your business

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317-912-3702
Indianapolis, Indiana

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This website constitutes attorney advertising material. Agathos Law, LLC assumes no responsibility for the accuracy or timeliness of any information provided herein. The information contained herein is for informational purposes only, does not constitute legal advice, and is not a substitute for legal counsel. Online readers should not act upon this information without seeking professional counsel.