In today’s regulatory climate, asset managers, fund sponsors, and institutional investors face intense scrutiny and exacting requirements. With experience from the inside the regulatory establishment, we help our clients avoid the pitfalls and maximize the opportunities.
What we do
We advise asset managers and financial services firms on the legal and regulatory issues that shape their operations, from product design to enforcement defense. We deliver practical insight and advice that benefits our clients across the investment lifecycle.
Our attorneys specialize in:
- SEC and state compliance and exams
- Fund formation and product structuring
- M&A for investment firms and fund managers
- Hedge funds, private equity, and real estate investment fund operations
- Enforcement matters and internal investigations
- Privacy, cybersecurity, and Reg. S-P compliance
Why choose us
Our team members have served as securities regulators and worked in global investment management firms. That insider experience gives us rare perspective and credibility when navigating regulatory and industry-specific challenges. We understand what’s at stake, know how regulators think, and can help clients spot risks early—before they become costly problems.
But we don’t just flag issues. We offer practical solutions that align with your business goals, not just your compliance checklist. Whether advising on fund formation, navigating an SEC exam, or helping you structure a product offering, we bring a grounded, business-first mindset to every engagement.