Cover Letter Template — Securities Attorney Outreach
Personalize before sending: replace ATTORNEY NAME, [FIRM NAME], and [FIRM-SPECIFIC NOTE] with the correct values per attorney. Remove these bracketed instructions before sending. Operator email: kris@moosequest.net
Suggested email subject line
Securities-law engagement inquiry — algorithmic trading platform, pre-revenue seed stage, 9-day launch window
Email body
My name is Kristerpher, founder of MooseQuest LLC (Pennsylvania), which is building Raxx — an algorithmic trading platform for self-directed retail traders. I am reaching out because I need securities-law counsel on a specific, time-bound set of questions before our v1 public launch, currently scheduled for 2026-05-23.
[FIRM-SPECIFIC NOTE: e.g., "Your firm's Investment Management & Securities practice caught my attention because of your documented work on IA Act registration analysis for pre-launch platforms." OR "A colleague suggested [FIRM NAME] as strong counsel for fintech companies working through Investment Advisers Act posture before launch."]
What Raxx is (brief): Raxx is a subscription SaaS platform that lets self-directed retail traders encode, backtest, and execute their own trading strategies — primarily options strategies. The user authors the strategy. Raxx's AI parses the user's natural-language description into a deterministic execution structure. Execution is rule-based; AI augments the user's understanding of their own historical data but never proposes or scores strategies on the platform's behalf. Raxx does not hold or custody any user assets. Users connect their own brokerage accounts. Raxx is pre-revenue, pre-launch.
I have attached a one-page company overview (Attachment B) and a specific scope of work (Attachment A) that defines exactly what I need from counsel.
What I am asking: I am looking for a securities attorney with Investment Advisers Act § 202(a)(11) experience to review specific product copy and AI-execution posture before launch, and provide a written opinion on whether Raxx's "pure parser" model requires registration as an investment adviser. Ideally I would like a flat-fee quote for initial scope review, or at minimum a clear hourly estimate.
I am on a tight timeline: I need to know by 2026-05-16 UTC whether you are available and conflict-free, and I am targeting a preliminary written summary on the two highest-priority items (MBT narrative copy and Scenario A execution posture) by approximately 2026-05-20 UTC.
What I am NOT asking: This engagement does not involve broker-dealer registration, securities litigation, trademark or IP matters (separately covered by IP counsel), or privacy law (separate track). I am not assuming registration is required — I am asking for your analysis of whether and why.
Attached: - Attachment A: Scope of Work (5 specific items + timeline) - Attachment B: Raxx one-pager (company + product context)
I would welcome a 30-minute introductory call at your earliest availability. Please let me know your rate structure, whether you foresee any conflicts, and your earliest available date for an initial consultation.
Thank you for your time.
Kristerpher MooseQuest LLC (Pennsylvania) — Raxx kris@moosequest.net
Personalization notes per attorney
For Joseph C. Antonakakis — Stark & Stark PC
Subject line as above.
[FIRM NAME]: Stark & Stark PC [FIRM-SPECIFIC NOTE]: "Your work on investment adviser compliance and the SEC's Marketing Rule caught my attention — specifically your focus on initial IA registration analysis and the 'should we register at all' threshold question for emerging advisory-adjacent platforms. I heard your Adviser Intelligence Podcast discussions on compliance posture and believe your experience aligns directly with what Raxx needs."
Contact: jantonakakis@stark-stark.com — also consider calling 609.945.7681 directly.
For Lex Nova Law — Philadelphia PA
Subject line as above.
ATTORNEY NAME: [Confirm at intake — ask for the attorney handling Investment Advisers Act § 202(a)(11) analysis; do NOT address to a generic "team"] [FIRM NAME]: Lex Nova Law [FIRM-SPECIFIC NOTE]: "As a Philadelphia-based boutique serving fintech startups and emerging-growth companies, Lex Nova came up as a strong fit for a PA-based founder working through federal securities-law posture before a consumer-facing launch. I see that your practice covers investment adviser regulation under federal and state law as part of your fintech and capital markets work."
Initial contact: intake form at https://www.lexnovalaw.com/ — mention
"Investment Advisers Act § 202(a)(11) analysis" and "pre-launch fintech platform"
in the subject. Follow up by phone if no reply within 24 hours.
For J. Steven Parker — Parker MacIntyre
Subject line as above.
ATTORNEY NAME: J. Steven (or "Mr. Parker" if unsure) [FIRM NAME]: Parker MacIntyre [FIRM-SPECIFIC NOTE]: "Parker MacIntyre's focus on investment adviser formation and the compliance question of 'should we register' — rather than assuming registration and handling the mechanics — is exactly the framing I need for Raxx. Your published analysis of IA registration requirements and the firm's work with start-up-phase advisers and advisory-adjacent platforms aligns with where we are."
Contact: jsparker@parkmac.com / (404) 490-4060