Investment Adviser Registration

Investment Adviser Registration

We provide advice to investment advisers regarding federal and state regulatory issues and private funds (e.g., hedge funds, private equity funds and cryptocurrency hedge funds). Unless an exemption from registration is available to an investment adviser, registration of an investment adviser with either the SEC or appropriate state securities commission is required of any investment adviser firm or individual that holds itself out to the public as an investment adviser and who, for compensation and as part of its regular business, gives advice, makes recommendations, issues reports or furnishes analysis on securities or the advisability of investing in securities.

We can assist investment advisers with:

  • Determining investment adviser registration requirements and identifying applicable exemptions under federal and state laws.
  • SEC or state registration of investment advisers and coordinating with federal or state regulatory authorities during the registration process.
  • Preparing and reviewing investment advisory contracts, investment management agreements, customer disclosure documents, consulting and solicitation agreements.
  • Assisting in helping clients prepare and respond to regulatory inquiries, examinations, deficiency letters and administrative actions applicable to registered investment advisers and investment adviser representatives.
  • Providing advice and assistance in the development and implementation of compliance programs, written compliance procedures, code of ethics, internal controls and continuing education programs.
  • Reviewing and providing counsel on advertisements, marketing materials, performance reports and presentations.
  • Counseling clients on statutory, regulatory and industry developments and representing clients in civil and criminal enforcement matters.
  • Representing clients in mergers and acquisitions of investment advisers, including assisting with due diligence.
  • Structuring referral arrangements and advising clients on ERISA matters.

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