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Investment Management

Investment Advisors

  • Overview

We have significant experience representing investment advisers that manage money for mutual funds, institutional investors and individual investors.

Our services include:

Organization and Operation

  • Formation and registration of investment advisers under the Investment Advisers Act of 1940 or state law
  • Preparation of organizational documents
  • Preparation and review of advisory agreements and regulatory disclosure documents
  • Preparation and update of Form ADV
  • Submission of Form ADV and other filings with the Investment Adviser Registration Depository (IARD)
  • Review of and advice regarding advertisements, marketing materials and performance reporting and presentations

Compliance

  • Advice on general compliance and legal issues arising under the Investment Advisers Act of 1940 and state law, including personal trading, trade allocation, affiliated brokerage transactions, best execution and soft dollar arrangements
  • Preparation and review of compliance policies and procedures
  • Assistance with SEC or state examinations, deficiency letters and administrative actions
  • Chief compliance officer support
  • Mock audits

Transactions

  • Mergers, acquisitions and joint ventures involving investment advisers, including due diligence assistance
  • Transitions to family office structure

Team Leader(s)

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Disclaimer and Legal Notices

Copyright © 2016 Godfrey & Kahn, S.C.

Attorneys at Law - All rights reserved.

 

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