Investment Management

Independence, insight, an entrepreneurial spirit—we strive to embody the values of our clients.

The asset management industry has been a primary focus of our firm for more than forty years. During that time, we have represented some of the most successful independent investment managers, multi-family offices and wealth managers. Our clients typically offer tailored, high-end investment advice independent of commission and market influence.

These clients, in turn, rely on us for bespoke advice—legal counsel that addresses their unique business challenges.

A large portion of our work is regulatory in nature. We draw on decades of experience helping clients grapple with complex regulatory matters including SEC and CFTC registrations, regulatory filings, countless compliance inquiries and the development of compliance manuals and related materials. We also help guide our clients through SEC and CFTC examinations, enforcement actions and any other matters that require litigation support.

Corporate advice is also an integral part of our skill set. We have helped clients acquire, dispose of and restructure their businesses, but we also advise on more everyday concerns, such as employment issues, tax planning, real estate leases and more. We also handle unique entrepreneurial projects that require creativity and innovation.

Every representation we take on enjoys a high level of partner contact and involvement. Like the managers that trust us with their regulatory and business advice, we offer boutique services to a discerning clientele. The depth of experience and breadth of our capabilities are difficult to match in the industry.