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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

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