Corporate Formation For Your New Business

The first steps in starting a business include selecting the right business entity, submitting formation documents, and creating bylaws, operating agreements, and other essential contracts.

MAH Advising LLC (“MAH”) provides full-service corporate formation and advisory support for new and growing businesses. We assist with general corporate counsel services, whether you are forming a limited liability company (LLC), a limited partnership (LP), or a corporation. Our experienced team guides you through every step of the process and can structure flexible payment plans for our services.

Our investment funds advisory team at MAH provides startup companies with corporate and investment adviser formation services to ensure a strong foundation for your business. We represent businesses in New York, across the country, and worldwide while continuing to provide corporate services.

With clients who are interested in creating or maintaining a corporate entity, MAH corporate services focus on several particular areas, including:

• Business formation services
• Preparing and submitting formation documents, such as the statement of information and business name (where applicable)
• Obtaining a Federal Tax Identification Number
• Creating necessary partnership agreements, operating agreements, or bylaws
• Developing shareholding contracts
• Filing blue sky notices as applicable
• Keeping books and records during the formation process and for the life of the business
• Serving as a registered agent for New York-based entities
• After the business formation process is finished, our team continues to offer corporate advisory services.
• Our in-house professionals will examine your company to identify risk management and operational issues before they become serious problems. Additionally, we help you submit your annual updates and provide updates and amendments to corporate documents as needed.
• We also offer flexible service packages and payment options to suit startups and growing companies.

Determining Corporate Entity: Liability Considerations

How can you protect your family and personal assets if your new company faces legal action? How do you maintain a clear separation between personal finances and business transactions? Your personal liability for business activities and future tax obligations will largely depend on the type of business entity you choose.

Our corporate advisory professionals counsel clients on entity selection, including partnerships, limited liability companies (LLCs), S corporations, C corporations, and others. We advise you to consult your tax accountant for guidance regarding how each entity impacts your tax obligations. Our team can assist you whether you are considering starting your own business or expanding your current operations.

Michael Hurckes' Strategic Guidance & Planning for Corporate Formation

• Governance and corporate structure
• Registration as a broker-dealer or investment adviser
• Regulatory filings necessary for the company
• Employment transitions and licensing
• Business plan formation and review
• Formation of a business entity (LLC, Corporation, etc.)
• Considerations for FINRA and SEC regulatory compliance
• Examine and analyse current employment agreements and contracts
• Advice on protecting confidential information and marketing to previous clients
• Examining private fund and family office exemptions
• Client documentation creation (including new account forms, investment policy statements, client agreements & financial planning contracts)
• Making policies and procedures for a new independent practice, including internal controls
• Client disclosure document creation (Form ADV, offering memorandum, marketing piece disclosures, client performance reports, etc.)
• Testing required for the compliance program
• Advice on state and federal securities laws, rules, regulations, and requirements
• Transition procedures for transferring client accounts to the new entity

Considerations for Registered Investment Advisors, Private Fund Advisors, Broker-Dealers, and Others

Private Fund Advisers

When establishing a private fund advisory business, MAH helps you consider factors including: capital under management, the handling of futures or commodities, initial investors, and investment terms. Our advisory services include:

• Establishing corporate entities in Delaware, California, and other states
• SEC, state, and Exempt Reporting Adviser (ERA) registrations
• NFA registration as a Commodity Trading Adviser (CTA) or Commodity Pool Operator (CPO)
• Guidance on seed capital and contingency planning (valuation, put/call provisions, death, disability, withdrawal, termination of principals)
• Regulatory compliance advice for organizational infrastructure and compliance programs

Broker-Dealer Formation

Our comprehensive broker-dealer formation services help you navigate:

• Company formation (LLCs, S corps, etc.)
• SEC and FINRA registration processes
• Completion of registration documents (Form BD, Form NMA, business plan, supporting documentation)
• Drafting written supervisory procedures (WSPs) and brokerage agreements
• Broker-dealer transitions and compliance program development
• FINRA rules 3110, 3120, 3130 (CEO certification)
• Mock regulatory exams, including branch office reviews
• Anti-Money Laundering (AML) and S-P compliance
• Customer complaint handling and surveillance solutions
• Individual and organizational licensing
• Broker-dealer advertising and sales literature review
• Business continuity and disaster recovery planning (BCP/DRP)
• Cybersecurity program development and guidance on sales practices

Looking for a registered investment advisor compliance?

MAH’s business formation team works closely with you from the outset to fully understand your company’s goals and operational needs. Based on this information, we create a detailed project plan that outlines each step required to complete your formation process, including timelines, task ownership, and deliverables. We maintain open communication with you throughout the project and coordinate with relevant regulatory bodies as needed, ensuring a smooth and efficient company formation process. Flexible service and payment options are available to suit your business needs.