Finn Dixon & Herling represents investment advisers across the United States and in other countries (as to U.S. legal matters). Our clients range from smaller firms with less than $100 million under management and only a few employees, to larger firms with more than $10 billion under management and hundreds of employees. Investment adviser clients offer a broad variety of products and services, including: discretionary or non-discretionary managed account platforms; investment fund products (including hedge funds, private equity funds and fund of funds); multi-manager investment platforms; and products and services oriented toward specific investor types (such as, high net worth individuals, institutional investors, ERISA investors and insurance company separate accounts).
Finn Dixon & Herling also represents broker-dealers that engage in: marketing of hedge funds, private equity funds and other investment fund products; private placements; market making, proprietary trading, program trading, high frequency trading; and investment banking. With respect to fund marketing, we represent both independent placement agents as well as broker-dealers that are affiliated with investment advisers.
We provide a broad spectrum of legal services to investments advisers and broker-dealers, including advising on all aspects of: formation and related structuring matters; compliance with federal and state securities laws; investment adviser and broker-dealer licensing; and the development and implementation of compliance programs, marketing practices, client and service provider arrangements, personnel matters, strategic transactions, and related tax matters. Services include, without limitation, the following:
Formation and Start-up Matters
Registration with the SEC, CFTC, State Securities Regulators; FINRA Membership
Development and Implementation of Compliance Programs
Ongoing Compliance Matters
Advice regarding compliance with:
Client Relationships; Contracts