01
Guided intake
Entity, activity, client/fund facts, compensation, holding-out, and the registration spine questions.
FinTech Law · Tools
RIA Registration Path Scorecard
A paid first-read path map for whether you likely need SEC RIA registration (including internet adviser), an ERA path, and/or state registration — built for VC managers, private fund managers, and robo/AI advisers launching interactive U.S. products.
This is a playbook-scored first read upstream of counsel. It is not a registration opinion letter, not legal advice, and not an attorney-client relationship.
What it is
A structured Scorecard under the Investment Advisers Act decision spine:
- Do the facts look like an investment adviser (advice for compensation about securities)?
- If yes → does a federal exemption look available (e.g., venture capital adviser, private fund adviser / ERA screens)?
- If exemption → ERA path flags (Form ADV timing, annual update) plus state overlay (place of business / notice / de minimis — federal ERA ≠ automatic state free pass).
- If no exemption → register: SEC vs state by AUM / mid-size edges; flag internet / robo-AI facts when they matter to the SEC path.
- If not an IA on these facts → no Advisers Act registration from this map; still flag state securities / IA checks.
You get a PDF path map: likely node, key open facts, and what would change the answer.
What it isn't
- Not a registration opinion letter
- Not Form ADV drafting, IARD filing, or a compliance manual
- Not a substitute for counsel on incomplete, edge, or high-stakes facts
- Not unlimited email access to a lawyer
- Not sold through a third-party storefront
If you need a scoped engagement after the map, reply or ask FinTech Law to contact you the normal way.
Who it's for
Primary
- Venture / qualifying VC strategy managers sorting ERA vs full SEC registration
- Private fund advisers hitting ERA, SMA, and mid-size RAUM edges
- Robo / AI / internet-advice models weighing SEC internet-adviser runway vs state paths
Secondary
- Founders who already asked whether they need to register and want a paid first-read path map before a full engagement with counsel
Not for
- Anyone expecting a signed legal opinion for $99 or $199
How it works
02
Optional supporting docs
Formation docs, operating agreement / LPA, subscription or PPM excerpt, draft ADV, or org chart. Two distinct categories on file unlock the $99 price; skipping still allows the $199 path at checkout.
03
Score + PDF
Likely path node(s), open facts, what would change the answer, disclaimer block.
04
Optional counsel handoff
Say if you want FinTech Law to follow up; we route that as a normal intake request, not free unlimited advice.
Allowlist examples: certificate of formation, OA/LPA, sample subs / PPM excerpt, draft ADV, org chart.
Pricing
| SKU | Price | What you get |
|---|---|---|
| Standard Scorecard | $199 | Guided intake → scored path map PDF |
| Scorecard w/ supporting docs | $99 | Same PDF; accuracy discount when two distinct supporting-document categories are on file |
Any two different documents unlock the $99 price. Skipping uploads still allows $199 checkout.
A deeper checklist pack for your scored path is not offered on this page.
Frequently Asked Questions
Disclaimer
FinTech Law, LLC sells this Scorecard as a software product. It is not legal services, and it does not constitute legal advice. Buying or using it does not make you a client and does not create an attorney-client relationship. The report is generated automatically from your answers. No lawyer reviews your answers, your documents, or the report. Do not rely on it in place of your own lawyer. What you submit is not privileged and is not treated as a client confidence. To hire FinTech Law, email contact@fintechlaw.ai. We run a conflict check first, and we represent you only after we both sign a separate engagement letter. Responsible attorney: Bo Howell, admitted in the District of Columbia, Nevada, and Ohio. FinTech Law, LLC.