We have a significant practice representing investment advisers that manage money for mutual funds, institutional investors, and individual investors.

Our services include:

• Formation and registration of investment advisers under the Investment Advisers Act of 1940 or state blue sky law
• Preparation and review of advisory agreements and customer disclosure documents
• Review and advice regarding advertisements, marketing materials, and performance reporting and presentations
• Preparation of compliance procedures
• Advice on general compliance and legal issues arising under the Investment Advisers Act and state blue sky law, including personal trading, trade allocation, affiliated brokerage transactions, best execution, and soft dollar arrangements
• Assistance with SEC (or state) examinations, deficiency letters, and administrative actions
• Mergers, acquisitions, reorganizations, and joint ventures involving mutual funds, investment advisers and broker-dealers