Investment Management Consulting

John Carter have served as Chief Compliance Officer for leading financial companies. With extensive experience spanning five decades, both attorneys understand that the current regulatory environment presents challenges for most investment management firms.  The consequences of non-compliance with current regulations can, at the very least, cause key stakeholders – investors, boards, and regulators – to question the effectiveness of existing compliance programs, and can at worst, lead to regulatory fines and damages that could result in the dissolution of the business.    

Our attorneys work with each client to create a complete set of compliance controls that will mitigate a business’ regulatory and reputational risks.  Years of experience allow us to be efficient with our time and provide practical solutions to address each client’s needs.


Investment Management services include:

  • Compliance program development and implementation
  • Form ADV updates
  • 206(4)-7 and 38a-1 compliance reviews
  • Due diligence of service providers
  • Audit, investigations and litigation support
  • Regulatory and legislative developments