Investment Advisers

Overview

Our Investment Adviser Practice
Stradley Ronon’s nationally recognized investment management practice has counseled investment advisers for more than 75 years on all legal aspects of their business. We regularly counsel investment advisers on legal, compliance and regulatory matters arising under the Investment Advisers Act of 1940 and other federal and state securities laws, the Commodity Exchange Act, federal and state privacy laws, ERISA, and other applicable laws and regulations. We also provide advice on corporate, tax, employment, litigation, mergers and acquisitions, and other related matters.

Investment Adviser Brochure Chart

Our Investment Adviser Clients
We represent investment advisers of all sizes, from small, fast-growing startups to some of the largest investment advisers in the world. Our clients engage in a diverse range of advisory businesses, including overseeing separately managed accounts, wrap programs, registered investment companies, private funds, commodity pools and other types of pooled and nonpooled investment vehicles. We advise clients that have varied structures and affiliations, including independent investment advisers, advisers dually registered as broker-dealers or commodity trading advisers, investment advisers affiliated with banks and/or insurance companies, and non-U.S. investment advisers.

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