Investment Advisers

Many of the largest and most well-known investment advisers turn to Ropes & Gray for our capabilities as both business advisors and attorneys. Our representation encompasses all aspects of operations and development, as well as regulatory matters.

We offer comprehensive advice on all types of adviser issues, including: 

• Regulatory matters – We represent advisers with respect to all federal and state regulatory and compliance matters. 
• Formation and operation – We advise on all issues associated with the organization and operation of investment advisers, including entity organization, taxation, employment matters, trademark and IP issues, and acquisitions and other corporate transactions. 
• Product development and delivery of advisory services – A substantial part of our practice involves product development for investment advisers and legal advice concerning the delivery of investment advisory services.

We advise a broad range of U.S.-based investment advisory firms on all aspects of their businesses. We also advise non-U.S. investment management firms and other financial institutions with respect to their U.S. activities and operations, including: 

• Acquisition of U.S. advisers 
• Foreign control regulations 
• Establishment and registration of U.S. investment adviser and broker dealer subsidiaries 
• Organization of private funds, mutual funds, ERISA group trusts, hedge funds and investment partnerships 
• U.S. and international tax advice