Investment Adviser

Our attorneys have extensive experience counselling clients about the types of activities that trigger investment adviser registration requirements, how to adapt those activities to lawfully avoid registration, and when registration may be the optimal strategy. We also have significant experience counselling clients through the investment adviser registration processes and implementing ongoing compliance. We specialize in working with companies using technology such as blockchain, artificial intelligence, and social media to provide investment services and programs.

Our investment adviser practice is part of our Fintech and Financial Services practice group. The attorneys in this group have substantial expertise in the Investment Advisers Act of 1940 (Advisers Act) and similar state laws. Our partners have previously worked at the Securities and Exchange Commission, the federal regulator for investment advisers.

A Complete Range of Services

Our investment adviser practice involves the following types of services: 

  • Registration and related compliance: We have significant expertise 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 structure cutting-edge investment products and platforms, including those based on disruptive technologies such as blockchain, artificial intelligence, and social media.

Capital markets transactions: We assist companies engaged in mergers, acquisitions, initial public offerings, and similar transactions involving registered advisers.

See Investment Adviser Practice on