Trusted Counsel to Money Managers, Financial Services Firms, and their Executives

You are

  • You are a fiduciary.
  • You successfully raise and manage capital in any market environment.
  • You help your clients achieve their goals.
  • You are subject to regulation, designed for investor protection, that you must navigate to succeed. Indeed, missteps could lead to penalties or being legally barred from conducting your business.
  • You want to be able to reach out to someone who will answer your questions in plain English and cut through red tape.

We are

  • Expert in the nuances of United States Securities Laws
  • Trusted Counsel to Money Managers, Financial Services Firms and their Executives
  • Your mock auditor, your day-to-day counsel and your protector and guide before the SEC
  • We use decades of experience from every legal practice angle to help clients succeed in their business while maintaining peace with their regulators.