+1-703-415-8271
ALCANTARA LAW, LLC
Boutique Cross-Border Counsel for Investment Adviser Compliance &
International Reputation Protection
· SEC Registered Investment Advisers & Exempt Reporting Advisers.
· State Registered Investment Advisers.
· Individuals and Businesses Seeking Reputation Defense and Data Correction.
Read more about our core services below.
INVESTMENT ADVISER COMPLIANCE
Strategic Legal & Compliance Solutions for Investment Advisers and Exempt Reporting Advisers
At Alcantara Law, LLC, we provide legal advice and high-stakes compliance solutions for investment advisers, exempt reporting advisers, and non-U.S. advisers. We specialize in bridging the gap between business goals and U.S. regulatory requirements, ensuring your firm is not just registered, but strategically protected under U.S. law.
Proven Results & Representative Matters
Our track record is built on successfully navigating the most rigorous U.S. regulatory and business hurdles:
-
Federal & State Audit Leadership: We have successfully led clients through SEC and State-level examinations and audits. By conducting proactive "pre-audit" mock exams and managing the flow of information during official inquiries, we help U.S. and international firms minimize deficiency findings and maintain their standing with American regulators.
-
Advising High-AUM Portfolios: We have developed and managed U.S. compliance frameworks for firms with millions in Assets Under Management (AUM). For firms of this scale, I implement systems that protect fiduciary integrity and mitigate the operational risks inherent in managing significant capital under the Investment Advisers Act and state securities laws.
-
U.S. Market Entry & Business Visas: We successfully secured a U.S. Business Visa for an international client based in India, facilitating a critical expansion of their operations into the U.S. market.
-
Large Trader ID: We navigated the SEC registration process for a Panamanian investment manager, securing his Large Trader Identification Number (LTID) via Form 13H to ensure full compliance with U.S. market volume reporting requirements.
-
Federal Brand Protection (USPTO): We have successfully registered trademarks for investment advisers with the U.S. Patent and Trademark Office.
Why this matters: In the financial sector, a firm´s brand goes far beyond the logo on the cover page of the Firm Brochure Form ADV PArt 2A. A USPTO registration provides nationwide "constructive notice" and a legal presumption of ownership. It prevents competitors from diluting your brand and ensures your firm’s "goodwill" is legally enforceable in U.S. federal courts.
Core Offerings U.S. Investment Adviser Registration
We have successfully registered investment advisory firms both within the U.S. and international managers seeking to offer services to U.S. clients. We ensure that non-resident advisers meet the specific SEC eligibility, disclosure, and "Form ADV-NR" requirements necessary to operate compliantly in the United States.
Substantive U.S. Compliance Management
-
Form ADV Architecture: We craft clear, compliant disclosure documents (Part 1, 2A, and 2B) that satisfy SEC standards while accurately reflecting your firm’s unique practices.
-
Custom U.S. Policies & Procedures: We partner with you to develop a "Compliance Manual" tailored to U.S. regulations, covering everything from the SEC Marketing Rule to Code of Ethics and Cybersecurity.
-
Annual Reviews & Amendments: We provide hands-on guidance for the mandatory annual review of your compliance program and the filing of annual ADV amendments to ensure ongoing U.S. resilience.
REPUTATION DEFENSE
INTERPOL Red Notice & Data Correction: Protecting the Global Professional
The presence of misleading or inaccurate information in INTERPOL’s databases is more than a legal hurdle, it is an immediate threat to a professional’s mobility, dignity, and livelihood. For financial professionals and investment managers, a Red Notice or Diffusion can trigger a cascade of consequences, from the summary freezing of personal assets to the permanent "de-risking" by global banking institutions.
The Intersection of Financial Expertise & Data Correction
My background in U.S. Investment Management and Compliance provides a distinct advantage in Red Notice defense. I understand that many financial crime allegations are actually civil business disputes or politically motivated maneuvers disguised as "fraud" or "money laundering".
I leverage my deep knowledge of the financial industry to:
-
Deconstruct Financial Allegations: I bridge the gap between complex investment transactions and INTERPOL’s "Rules on the Processing of Data," proving when a commercial dispute does not rise to the level of a criminal offense.
-
Safeguard Banking & Reputation: I understand how a "hit" in an INTERPOL database triggers AML/KYC flags. My firm approaches these matters with high-stakes discretion, focusing on the swift removal of data to prevent long-term damage to your professional standing and global mobility.
-
Precision in Petitions: Because I speak the language of both the SEC and INTERPOL, my petitions for deletion are characterized by technical accuracy and a commitment to restoring the "presumption of innocence" in the digital age.
We approach every matter with sensitivity and a relentless commitment to ensuring that inaccurate data does not dictate your future.
U.S. Domestic and International Clients
We have served a diverse roster of investment advisers and entrepreneurs, providing U.S. regulatory and legal solutions across 18 U.S. states and 6 international jurisdictions. My experience includes successfully navigating the unique regulatory landscapes of:
-
U.S. Jurisdictions: Alabama, California, Colorado, Connecticut, Florida, Georgia, Idaho, Indiana, Louisiana, Maryland, Massachusetts, Minnesota, Mississippi, Nevada, New Jersey, New York, Ohio, Puerto Rico, Texas, Virginia, and Washington.
-
International & Territory Reach: Australia, Canada, China, Ecuador, India, Mexico, Panama, and Switzerland.
Isabel has been amazing assisting us with US financial regulation, helping us to become a registered investment advisor. She is creative and very responsive to our needs which was required for us to navigate today´s complex regulatory environment for investment professionals.
Jack, Zürich
It has been a pleasure working with Isabel at Alcantara Law. She is meticulous and conducted a thorough review of our FINRA ADV, consistently prioritizing the company's best interests from both regulatory and compliance standpoints. We look forward to continuing our relationship with Alcantara Law in the future.
Manu, Texas
