Investment Adviser

Our attorneys have extensive experience counseling clients on the intricacies of investment adviser registration requirements, including strategies to manage registration requirements effectively, whether through adapting activities to lawfully avoid registration or determining when registration may be the optimal strategy. We provide comprehensive support through the investment adviser registration processes and implementation of ongoing compliance. We specialize in working with innovative companies using technology such as blockchain, artificial intelligence, and social media to provide cutting-edge investment services and programs.

Our investment adviser practice is part of our broader Fintech and Financial Services practice group. The attorneys in this group bring extensive experience working with companies to navigate compliance with the Investment Advisers Act of 1940 (Advisers Act). Our partners have previously worked at the Securities and Exchange Commission, the federal regulator for investment advisers. This expertise enables us to guide our clients through compliance and strategic decision-making.

A Complete Range of Services:

Our investment adviser practice involves the following types of services:

  • Registration and related compliance: We have significant expertise in analyzing a company’s potential investment adviser registration requirements, or exclusions or exemptions from registration, including structuring advice to minimize the necessary registration requirements. We provide investment adviser registration assistance, including drafting and filing Forms ADV plus drafting required policies, procedures, and codes of ethics.
  • Innovative investment programs: We specialize in helping clients design and structure cutting-edge investment products and platforms, including those based on disruptive technologies.
  • Capital markets transactions: We assist companies engaged in mergers, acquisitions, initial public offerings, and similar transactions involving registered advisers.

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