5451480194842d17df745acf11b119ce.png

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. 

  • Capital Acquisition Brokers (CABs)

  • Institutional Broker-Dealers

  • Limited Purposes Broker-Dealers

  • Institutional Investment Advisers

  • Impact & ESG Investment Advisers 

  • Private Fund Investment Advisers

  • FINRA and SEC Examinations and Inquiries

nrd-c3tNiAb098I-unsplash.png
1199689343310558_edited.jpg
cody-board-oKoX0oJj53U-unsplash_edited.jpg