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Advising on deals, investments, or market trends—even informally—can trigger investment adviser rules if you’re compensated in any way. Securities laws focus on conduct, not titles. If your guidance on securities is part of your business, registration or an exemption may be required.

Early-stage startups often raise funds using Safes (Simple Agreements for Future Equity), rather than selling equity immediately. Safes allow founders to delay valuation, maintain control, and simplify financing. Post-money Safes, now the industry standard, fix investor ownership upfront, making fundraising more predictable while emphasizing the importance of tracking dilution. Understanding both how Safes work and how they impact ownership is essential for founders and investors navigating early-stage fundraising.

Representation and Warranty Insurance (RWI) is becoming increasingly common in mid-market transactions as a tool to manage risk and streamline negotiations. This blog explains what RWI typically does – and does not – cover, its benefits for both buyers and sellers, and when to secure it within the transaction timeline.