Investment Advisor and Broker-Dealer Compliance

  • Registration and Regulatory Filings
  • Regulatory Compliance
  • Regulatory Examinations
  • Client Agreements
  • ERISA and Fiduciary Responsibilities
  • Arrangements with Service Provider and other Industry Professionals
  • Compliance Meetings
  • Policies and Procedures

Regulatory Controversies and Dispute Resolution

  • Response to Inquiries from Securities Regulators
  • Regulatory Inquiries and Examinations
  • Client Complaints and Settlements
  • Disciplinary Proceedings
  • Enforcement Action Representation
  • Ongoing Relations with Regulatory Authorities
  • Industry Defense Arbitration
  • Settlement Negotiation
  • Civil Litigation

Corporate Counsel

  • General Corporate Matters
  • Governance
  • Contractual Relations
  • Employment Relations
  • Succession Planning and Transition Strategies

Securities Transactions & Regulation

  • Private Placements
  • Venture Financing
  • Blue Sky

We help start-ups and breakaway brokers confidently navigate a host of complex issues, from business and commercial to employment transition to securities regulations.


Growing and maturing advisers face unique challenges. We help our clients navigate those arduous and time-consuming legal issues, so they can focus on growing a profitable business.


Whether starting a new venture, managing an established firm, or exploring the acquisition or sale of your business, we provide driven entrepreneurs with the business insight and legal counsel essential to advancing their business interests.


Employees of brokerage firms, banks, and trust companies need guidance when planning a transition to another firm or independence. In short, we help these securities personnel envision, plan, and implement a successful transition.


We represent all types of private funds, including hedge funds, real estate funds, private equity funds, and venture funds. From concept to the formation, we work closely with fund managers to determine the optimal structure.


We have represented some of the nation’s leading financial institutions – from independent investment advisers and broker-dealers to RIA custodians to family offices – with some of their most challenging legal issues.