Investment Management & Advisory Services

At Practus LLP, our Investment Management & Advisory Services practice offers comprehensive legal counsel tailored to the evolving needs of investment managers, registered investment advisors, and financial institutions. With a client-centric approach, we provide actionable insights and practical solutions that help our clients navigate the complex regulatory environment, mitigate risk, and seize opportunities for growth.

Our team is well-versed in the Investment Advisers Act of 1940, Investment Company Act of 1940, Securities Act of 1933, Securities Exchange Act of 1934, and other relevant laws and regulations governing investment activities. Whether you’re an emerging fund manager, a registered investment advisor, or a large financial institution, we deliver customized legal strategies that align with your goals and regulatory requirements.

WHY PRACTUS?

We believe in proactive, practical legal counsel. Our Investment Management & Advisory Services team combines deep industry experience with an innovative approach that puts our clients’ success first. As a virtual law firm, we deliver top-tier legal services with greater flexibility and cost-efficiency, giving our clients the advantage of working with seasoned attorneys without the overhead of a traditional law firm.

Our firm is led by attorneys who have decades of experience working with investment managers, advisers, and institutions, providing a strategic advantage that sets us apart from other firms. At Practus, we don’t just respond to issues—we help you anticipate and navigate them with confidence.

OUR INVESTMENT MANAGEMENT & ADVISORY SERVICES INCLUDE:

Regulatory Compliance: Assisting with SEC and/or state securities regulator registration, regulatory filings, and ongoing compliance under the Investment Advisers Act, Investment Company Act, and other applicable regulations.

Fund Formation & Structuring: Advising on the formation and structuring of investment funds, including hedge funds, private equity, venture capital, and other pooled investment vehicles.

Mergers & Acquisitions: Offering counsel in the acquisition, sale, or merger of investment advisory firms and related transactions.

Investment Contracts & Agreements: Drafting and negotiating advisory contracts, sub-advisory agreements, distribution agreements, and partnership arrangements.

Corporate Governance: Providing guidance on governance best practices, fiduciary duties, and regulatory obligations for fund managers and investment advisers.

SEC Examinations & Enforcement Defense: Representing clients in SEC examinations, investigations, and enforcement actions.

Sustainability & ESG Compliance: Supporting clients in the integration of Environmental, Social, and Governance (ESG) factors into their investment strategies and ensuring compliance with ESG-related disclosure requirements.