Investment Advisers


Our Investment Adviser Practice
Stradley Ronon’s nationally recognized investment management practice has counseled investment advisers for more than 85 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.

Our Investment Adviser Clients
Our clients value Stradley Ronon’s depth and breadth of real-world, practical advice, coupled with our commitment to keep clients informed of emerging regulatory and market developments. 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 non-pooled 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.

Standing Apart from the Competition
Our regulatory and litigation experience in the financial services industry provides us with the unique ability to offer clients a multi-disciplinary, customized team approach when confronting any regulatory or enforcement matter. Our regulatory counsel routinely represents financial service providers, funds and boards to ensure legal compliance while maintaining a competitive edge amidst industry advancements and regulatory changes. When necessary, we harness our first-chair SEC trial experience, seasoned litigators and deep subject matter experts to create a team that provides our clients with the best opportunity to achieve a reasonable resolution but places them in a formidable position to litigate if they choose.



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