Investment Management

We represent investment advisers, asset and fund managers, financial institutions and investors in connection with:

Alternative investments

  • Hedge funds
  • Private equity funds
  • Venture capital funds
  • Managed futures/commodity pools
  • Separately managed accounts
  • Multi-manager fund platforms

Investment advisers

  • SEC and state registration
  • Application of U.S. regulations to foreign advisers
  • Ongoing SEC compliance
  • Investment adviser M&A
  • Tax and ERISA regulation and compliance
  • Integration of U.S. and foreign regulations
  • Third-party service provider arrangements

Commodities and derivatives

  • Registration of CPOs and CTAs
  • Cross-border derivative regulatory issues
  • Ongoing CFTC compliance
  • Large trader reporting

Broker-dealer

  • Registration
  • Ongoing SEC and FINRA compliance
  • Foreign broker-dealers

Start-up and growth stage advisory businesses

  • Structuring advisory firms and partner arrangement
  • Seeding arrangements and capital raising
  • Advertising and marketing