Investment Advisers

Investment Advisers

We routinely assist IA’s in navigating the complex state and federal rules regarding investment adviser registration, both at the state and federal level, and have registered managers of private funds in states throughout the nation, including Texas, Washington D.C., Hawaii, California, and Wisconsin.

Among the services we provide to investment advisers include:

  • Investment management company structuring and implementation of complex multi-member operating agreements;
  • Seed investment and seed investment transactions and agreement drafting; and
  • Financing arrangements.

Registration with state securities authorities or the SEC:

  • Determination of adviser’s registration requirements, or applicable exemptions, under the Investment Advisers Act of 1940 and state investment adviser laws;
  • Serving as counsel in connection with the completion and submission of Form ADV, Parts I and II and state specific supplementary material;
  • Registration of investment adviser representatives under Form U-4; and
  • Coordination with regulatory authority during the application process.

Developing and Implementing Compliance Program:

  • Advice regarding development of compliance program, written compliance procedures, code of ethics and continuing educational program;
  • Develop and implement an employee compliance training regime and advice regarding supervision of personnel; and
  • Preparation of compliance procedures manual and code of ethics.

Ongoing Compliance:

  • Advice regarding the Investment Advisers Act of 1940, the Securities Act of 1933 (including compliance with Regulation D and S), the Securities Act of 1934, ERISA and the Commodity Exchange Act.

Regulatory Examinations:

  • Preparation for undergoing regulatory examination;
  • Responding to regulatory inquiries following examination; and
  • Updating clients on current areas of regulatory focus and changes in compliance requirements.