Existing Advisors

Growing and maturing advisers face unique challenges. They have small business considerations such as contracts, employment issues, and risk management, but they are immersed in a highly-regulated environment with shifting business, regulatory compliance and legal challenges. Add to that entity lifecycle matters such as continuity and succession and our role as our clients’ most trusted advisor becomes an obvious one. We help our clients navigate those arduous and time-consuming legal issues, so they can focus on growing a profitable business.

Investment Advisor and Broker-Dealer Compliance

Regulatory Controversies and Dispute Resolution

Corporate Counsel

Business Transactions

Intellectual Property

When maintaining the regulatory compliance of an investment adviser, clients frequently utilize the services of our affiliated consulting firm, MarketCounsel and their RIA Institute for Compliance Management which furnishes a robust and proactive compliance management platform.