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Legal Representation & Future Regulations for RIAs with Max Schatzow
Episode 743rd August 2022 • Bridging The Gap • Bridging The Gap
00:00:00 00:34:27

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Max Schatzow, Founder at RIA Lawyers LLC, joins Matt from Princeton, New Jersey, on today's episode. A former bat boy and clubhouse attendant for the Baltimore Orioles, we could talk sports all day long.

Max explores how he and his team are representing clients in the entirety of owning and operating a registered advisor firm. They dive into the future of regulations in the industry, marketing and advertising testimonials and regulations, and future technology innovations to make meeting compliance a little easier.

Max also shares the biggest mistake he's seen a firm make in the compliance and regulation space in the industry.

Guest Bio:

Max Schatzow, Co-Founder and Partner at RIA Lawyers LLC, is a business-minded regulatory lawyer that always tries to put himself in the client’s position. He assists clients in all aspects of forming, registering, owning, and operating an investment adviser. He prides himself in preparing clients and their compliance programs to avert regulatory issues, but also assists clients through examinations and enforcement issues.

In addition, Max assists advisers with the formation of private investment funds and their ongoing operation. In his little spare time, Max enjoys the Peloton (both stationary and road), golf, craft beers, and spending time with his wife and two children.