AR&H News & Blog
What is a Private Equity Fund and How is it Formed?
By: Daniel A. Perry A private equity fund is an investment entity formed by individuals who are interested in raising capital to make investments based on specific investment strategy. This may include individuals wanting to acquire ownership in specific companies as their investment strategy. The fund is owned by accredited investors. An accredited investor is defined […]
What Is a Mid-Sized Adviser?
By: Daniel A. PerryGenerally, a mid-sized adviser is defined as an investment adviser that has between $25 million and $100 million in assets under management. In addition, mid-sized advisers, like investment advisers and investment adviser representatives, must register with their state securities division in which they conduct business. However, there are circumstances in which a […]
What Deadlines Are Required for Filing with the SEC?
By: Daniel A. PerryIf you are an adviser who registers with the SEC, there are time-sensitive deadlines in which you will need to pay attention. In addition, there are deadlines for state securities division registration that in which you will need to pay attention.An adviser is required to file their annual Form ADV Annual Updating […]
Choosing the Wrong Beneficiary of your IRA Can Be Very Costly
By Daniel A. Perry, Esq.When a client first comes into my office, we normally have a discussion about their family and their general wishes when it comes to distributing their property to their loved ones. In addition, we will also have a discussion about disability and incapacity planning. This discussion always is centered around who […]
The Three Types of Agreements Every Business Needs to Thrive
By: Daniel A. Perry “Lawyers are seldom loved but often needed.” This famous quote is as true today as the day it was uttered. I often receive calls from clients about their businesses being sued. Usually, it is regarding a contract dispute. Or a state regulatory agency has fined them for not being registered, not following […]
DIY Wills and Trusts Can Create DIY Problems
By Daniel A. Perry, Esq.There is so much information out there on the internet. Some is accurate, some is misleading, and some is just flat out false. In the age of information, we have a host of information at our fingertips as not seen before at any point in our history. However, how do we […]
What is a Corporation?
By: Daniel A. Perry A corporation is a separate business entity that conducts its own business, files its own taxes, and signs its own contract in its own name. Let’s look as John Doe as an example. If John owns John’s Plumbing Company Inc., his company should file taxes as John’s Plumbing Company Inc. rather than […]
Formation and Governance of Your Business – Why Is It So Important?
By: Daniel A. PerryWhen it comes to operating your business correctly, there are several legal items that require every business owner’s attention. No matter how many times I explain the importance of formation and governance of a business’s legal entity, I have discovered that a story works much better to explain the legal importance of […]
When Should You Consider Mediation During Your Will or Trust Contest Case?
By Daniel A. Perry, Esq.Early in my career I once heard a judge say: “A sign of a good negotiation is when both parties walk away upset.” What I believe this judge meant was that negotiation includes compromise and neither party gets absolutely everything that they wanted at the outset of the case.When I represent a client […]
What is a 3(c)(1) Fund?
By: Daniel A. PerryA private equity fund known as a 3(c)(1) Fund refers to the Investment Company Act of 1940, specifically Section 3(c)(1). This section is regarding the allowance of private funds avoiding requirements for the Securities and Exchange Commission (“SEC”). Section 3(c)(1) of the Investment Company Act provides:(c) none of the following persons is […]