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Practice Areas

Registered Investment Adviser Law

Help you launch, grow, purchase, or sell an Adviser with expert legal and compliance experience.

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Compliance

Offer Investment Advisers guidance and support to meet legal and regulatory requirements.

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Business Law

Assistance with LLC’s, Corporations, and Operating Agreements.

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Estate and Business Succession Planning

Worthright & Gaine provides comprehensive legal and administrative services to help individuals, families, and business owners.

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Breakaway Adviser Transition Support

Guides advisers through every step of the RIA transition with legal, compliance, and back-office support.

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Ongoing Counsel and Support & Outsourced General Counsel

Upon client request, we provide Ongoing Counsel and Support Services and custom Legal Support Services, without the cost of a full-time hire.

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Legacy Planning

We assist in developing legacy plans that preserve your assets, values, and vision for future generations.

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Wills, Trusts, and Estates

Legal guidance in creating wills, trusts, estate plans, and philanthropy management to protect your assets.

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Litigation Services

We represent Clients in Litigation matters, including but not limited to, Regulatory Actions, Client Disputes, and Complex Litigation, protecting both their Business and Reputation.

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Administrative Services

We offer support with Bill Pay, Tax Planning, and Investment Tracking to keep your finances organized and on track.

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Family Office

Charitable Planning, Regulatory Compliance, Trusts and Estates.

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Facilitating Your Next Steps

Help founders align financing from startup to exit, offering support in private sales, due diligence, fundraising, and investment banking.

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We Are Committed To:

Comprehensive Legal Strategies tailored to each client’s evolving needs

Cost-Effectiveness

Efficiency

Who We Are

Rooted in precision and driven by relationships, we serve clients and persons by providing forward-thinking solutions that include Legal and Compliance guidance, Estate and Business Succession planning, and Legacy planning. Our approach is informed, pragmatic, and always aligned with long-term success.

Worthright & Gaine is a law firm focused on handling your legal matters to lead to your success. We serve investment advisers, private fund managers, financial professionals, and more across the U.S. who seek strategic legal support without the burden of institutional overhead.

Whether you’re launching a new RIA, responding to a regulatory inquiry, seeking ongoing counsel, or planning your estate or business succession, Worthright & Gaine is here to help you meet expectations today and build for tomorrow.

Who We Are

Our Team of Attorneys at Worthright & Gaine is dedicated to serving Businesses and Professionals across a wide range of Industries. We provide tailored guidance in Legal and Regulatory matters, Estate and Business Succession, Family Office services, and more.

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How We Help

We take a personalized approach, offering strategic Legal and Regulatory Solutions designed to meet your unique needs. With us as your Trusted Partner, you can stay focused on what truly matters: delivering exceptional service to your Clients.

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Our Approach

As Legal Professionals, we recognize that effective legal services demand more than generic frameworks. Our approach is tailored to the distinct needs and challenges of each Investment Adviser, their clients, and their personnel.

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Contact Worthright & Gaine today and let us know how we can assist you.

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