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We provide a comprehensive array of legal services to federal and state registered and exempt investment advisers concerning regulatory issues, and all facets and stages of their businesses. We represent the full range of investment advisers from small boutiques to large national financial institutions.

We guide clients through the planning, structuring, organizing, funding and reorganizing of their operations. We advise clients in merger and acquisition transactions. In addition, our counsel includes ongoing operations, regulation under federal and state laws, product development, registration, Form ADV disclosure and Securities and Exchange Commission inspections.

Our team of lawyers assists with the review and negotiation of contracts, as well as risk management, compliance programs and compliance manuals. We also counsel clients on advertising and legal investment issues, inspections and examinations and current interpretations of regulatory authorities such as the SEC.

Investment Advisers

They understand the landscape of the industry and the rules very well, and their advice is always very practical.

Chambers USA 2013, quoting a Drinker Biddle client