FinTech Law

Document-analysis memorandum intake

A separate path from the RIA Registration Path Scorecard — structured for a limited document review and short memorandum.

Limited document-analysis memorandum

This path is for a focused document review: you provide supporting documents, complete a structured intake here, confirm the summary, accept the terms in this flow, and pay $1,500 via Stripe. FinTech Law then delivers a short written memorandum. No call is required. Paying for this memorandum does not open a matter in our practice management system.

Scope. The memorandum addresses the threshold question — whether your company is an investment adviser at all, whether an exclusion may apply, and which live and planned product features push toward that line. It is not a registration map that assumes adviser status.

This is a limited document-analysis memorandum from FinTech Law LLC. It is not an investment adviser registration analysis, and it is not an adviser-status opinion. Paying for it does not open a FinTech Law matter. You may not share this memorandum with anyone as FinTech Law’s adviser-status opinion.The fee is $1,500, payable by Stripe when you accept these terms.

Timing. FinTech Law will provide the written memorandum within 5 business days after you have accepted these terms, paid the fee, and provided the documents and the facts this review needs.

What you receive. The memo is only as good as the documents you provide. It is not a fully vetted analysis, which would usually include one or two rounds of information requests from a lawyer. You may rely on it internally, with those limits. It is not a signed opinion letter and it is not Form ADV.

If, within 30 days of delivery of this memorandum, you engage FinTech Law for a written adviser-status opinion prepared so you may share it with third parties, the $1,500 credits in full toward that fee. Where that fee is the $7,500 minimum, the balance is $6,000. The credit is a fee credit only. This memorandum is not that opinion and is not incorporated into it, and paying for this memorandum does not open that matter. A third party may rely on that opinion only to the extent the opinion letter itself says so.A question about this memorandum, a change to it, or any further analysis, including a fuller analysis of the product and of the business’s regulatory posture, requires a separate engagement letter with FinTech Law. That letter may include a credit toward its fee, depending on the scope it states. These terms promise no credit except the adviser-status opinion credit above.

If you have questions, you may contact FinTech Law at contact@fintechlaw.ai.

Accepting these terms defines the scope of this review. It does not by itself create a broader attorney-client relationship, and it does not open a FinTech Law matter.

Starting document-analysis intake…