Investment Advisers

Our team counsels clients on a broad range of regulatory and operational issues facing registered and unregistered investment advisers. We represent registered investment advisers of all sizes and in all stages of development, from inception and initial registration with either the SEC or applicable state securities law regulators, through multistate expansion and advisory product innovation. With the advent of more aggressive SEC audits and enforcement, we have assisted numerous advisers in responding to the SEC and working out acceptable solutions to audit issues raised by the SEC. We also advise clients regarding the mandatory IARD electronic filing system for investment advisers.