FOCUSED ON FINANCINGS.
INVESTMENT MANAGEMENT AND BROKER-DEALERS
We represent a wide variety of investment managers with a focus on institutional investment advisors, socially responsible investment managers, fund advisors and institutional and limited purpose broker-dealers across the United States. We also provide counsel to investment managers and broker-dealers as they navigate rapidly changing regulatory requirements.
-
Broker Dealers
-
Registered Investment Advisers
-
Mutual Funds
-
Cybersecurity
-
Privacy
-
FINRA and SEC Examinations and Inquiries
