Our Investment Advisers, Asset Managers & Private Funds Practice provides a full range of legal and compliance services to registered investment advisers (RIAs), broker dealers, and fund sponsors encompassing all aspects of the business lifecycle. Our deep bench of experienced attorneys work in consultation with one another across Potomac Law Group’s diverse practice areas. Together, we provide advice, counsel, and representation regarding:

  • Registrations and filings under the Investment Advisers Act, Investment Company Act, Securities Exchange Act, and state analogs (including Forms ADV, U4, U5, U6, CRS, BD, etc.);
  • Compliance with applicable regulations under state and federal law, including ongoing reporting obligations, development of internal policies and procedures, and audits;
  • Development and implementation of appropriate forms of agreement with clients, vendors, solicitors, and other third parties;
  • Ownership transition and business succession planning, including mergers and acquisitions, service provider equitization, and financing transactions;
  • Entity formation and governance, including partnership and operating agreements, corporate bylaws, and related entity documentation;
  • Litigation, government and self-regulatory organization actions and investigations, and arbitration and other alternative dispute resolution;
  • Employment issues, including personnel policies, employee handbooks, employment contracts, recruiting and onboarding, and employment law compliance;
  • Outside general counsel services including assistance with unforeseen legal needs that span practice areas and a require coordination of a multidisciplinary team; and
  • Data privacy and security, including legal compliance, best practices, and breach response.

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