Wealth Advisory Firms and Family Offices

Wealth advisory firms and family offices share a desire to help their clients grow their wealth. However, they do so in a highly regulated environment, and need to be mindful of an array of legal and compliance requirements related to their businesses. Our investment management attorneys provide practical guidance to wealth advisory firms and family offices on these matters and other legal concerns related to their businesses. Our team includes fund lawyers, securities lawyers, tax lawyers, ERISA lawyers, bank regulatory lawyers, real estate lawyers, estate planning lawyers, employment lawyers and corporate lawyers, and we draw on their respective strengths to respond nimbly and efficiently to client needs.

Legal matters that our team can help wealth advisory firms and family offices address include:

  • Advice regarding investment adviser registration or available exemptions
  • Compliance with the US Investment Advisers Act of 1940
  • Compliance with the USA PATRIOT Act and the Employee Retirement Income Security Act (ERISA)
  • Broker/dealer issues
  • Advice regarding authorisation by the UK FCA and compliance with FCA rules and regulations
  • Compliance with UK and EU anti-money laundering legislation
  • Documenting appointed representative arrangements (UK)
  • Formation and offering of proprietary funds
  • Cybersecurity policies and procedures
  • Drafting and negotiating investment management, managed account and investment advisory agreements, as well as internal compensation and co-investment programs
  • Tax structuring
  • Governing documents

Experience Highlights

  • Full-service wealth advisory firm regarding regulatory advice related to the Investment Advisers Act, the Commodity Exchange Act, anti-money laundering and ERISA; formation of a complex of proprietary domestic and offshore funds; structuring and governing documentation; investment management agreements; and merger and acquisition matters.
  • Impact investment advisory firm in legal review of marketing materials, regulatory and compliance advice, representation regarding private funds, documentation of investment management agreements, preparation of governing documents of firm, and tax structuring.
  • Asset management firm in the preparation and negotiation of sub-advisory agreements; regulatory advice related to the Investment Advisers Act, the Commodity Exchange Act, the Securities Act, and other securities laws; and preparation of governing documents of firm.
  • Various UK managers and advisors in advising on and negotiating appointed representative and related agreements, and drafting and negotiating managed account and investment advisory agreements.
  • Family office in legal review regarding terms of limited partnership vehicle and integration with underlying investment documentation.
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