Our attorneys have experience in representing registered money managers who are registered either under the federal Investment Advisors Act of 1940, as amended, or under State securities laws. We represent money managers on their acquisitions and divestitures, transfer and assignment of clients, regulatory issues, customer complaints, arbitrations, and strategic issues, in addition to corporate governance issues, and issues relating to Form ADV and equivalent state filings. We also represent money managers before the Securities and Exchange Commission and state investment adviser regulators.
News & Press Releases
- January 2, 2020
- October 27, 2017
Presentations & Events
- Institute for Paralegal Education; Webinar, March 8, 2018