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Investment Management

Investment Advisers

  • Overview

We have significant experience representing investment advisers that advise registered 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 and Form CRS
  • Submission of Form ADV, Form CRS and other filings with the Investment Adviser Registration Depository (IARD)
  • Advice regarding advertisements, marketing materials and performance reporting and presentations


  • 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, findings letters and administrative actions
  • Chief compliance officer support
  • Mock audits


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

Learn more about our transactional services.

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