FOCUSED ON FINANCINGS.

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

PRIVATE FUND FORMATIONS