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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.
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Capital Acquisition Brokers (CABs)
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Institutional Broker-Dealers
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Limited Purposes Broker-Dealers
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Institutional Investment Advisers
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Impact & ESG Investment Advisers
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Private Fund Investment Advisers
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FINRA and SEC Examinations and Inquiries
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