We advise financial advisors, private banks, family offices, and investment firms on the legal frameworks that support their growth, safeguard client assets, and ensure regulatory compliance in a dynamic financial landscape.
We understand the challenges wealth management firms face: evolving fiduciary standards, heightened regulatory scrutiny, employment issues, and sometimes partnership disputes. Our attorneys deliver strategic, business-oriented counsel that helps firms manage risk, maintain client confidence, and stay ahead of change.
We represent registered investment advisors (RIAs), broker-dealers, trust companies, and multi-family offices across a wide range of legal matters:
Investment Management & Fund Formation: Structuring hedge funds, private equity, and real estate investment vehicles.
Client Agreements & Fiduciary Duties: Drafting advisory agreements, fee disclosures, and fiduciary compliance strategies.
Mergers & Acquisitions: Advising on firm sales, acquisitions, and succession planning.
Employment & Compensation: Executive contracts, incentive plans, advisor transitions, and enforcement or defense of non-compete and non-solicitation agreements.
Dispute Resolution & Litigation: Handling regulatory investigations, client disputes, employment claims, and intra-firm conflicts.
With a clear understanding of the wealth management landscape and the legal intricacies that shape it, we help firms stay compliant, build trust, and remain positioned for long-term success.