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