Investment Advisers

Vedder’s Investment Services attorneys provide sensible advice to investment advisers leveraging the deep experience and expertise of our team members, many with backgrounds at industry regulators and in-house legal and compliance roles, positioning us to provide sophisticated yet practical business solutions to complex legal and regulatory issues.

We work with both asset managers and wealth managers of all strategies and sizes, from startup boutiques to large national firms. We represent SEC and state-registered investment advisers, private fund managers, investment adviser representatives, break-away advisers, institutional investors, family offices and other professional investors.

We represent clients in all matters relating to the business of investment advisers, including:

• Regulatory registrations
• Investment management agreements
• Design of compliance programs and drafting of compliance policies and procedures
• Regulatory examination, enforcement and litigation matters
• Assistance with preparation and filing of regulatory filings
• Sales and acquisitions of investment advisory businesses
• Employment related matters
• Other general corporate matters, including tax planning