Investment Management

Cummings & Lockwood’s Investment Management practice provides goal-oriented, practical counsel to some of the country’s most prominent investment advisers and investment management firms. We guide clients in all aspects of their business operations – from inception through growth.

Our attorneys provide advice in all areas of business creation and structuring, including:

• Creation of investment management firms
• Registration with the state or the Securities & Exchange Commission (SEC)
• Creation and administration of effective compliance programs
• Formation of investment funds
• Serving as advisers to mutual funds
• Managing a broad range of day-to-day business issues

We also work with investment management clients to form hedge funds and other pooled investment vehicles. This includes providing advice on the structure of funds; preparing formation, disclosure and offering documents; providing registration and exemption advice; assisting with compliance issues; and delivering ongoing legal support.

We provide legal advice and assistance to investment management clients on a wide variety of matters that encompass:

• Drafting and negotiating investment management agreements
• Developing and implementing compliance programs, including Regulation D compliance, and providing ongoing compliance advice and assistance
• Conducting compliance reviews of existing programs
• Reviewing marketing and advertising materials
• Preparing formation documents for funds and their general partners
• Drafting disclosure and subscription materials distributed to fund participants
• Providing counsel to investment adviser clients regarding responsibilities involved in advising mutual funds
• Providing counsel to business owners on ownership and succession planning issues
• Preparing buy-sell agreements, stockholder agreements and LLC operating agreements
• Assisting with regulatory exam preparation
• Advising funds and advisers regarding registration exemptions
• Establishing Investment Adviser Registration Depository (IARD) enablement and filing submissions
• Handling U.S. Securities and Exchange Commission (SEC) and state blue sky filings
• Drafting employment and consulting agreements and related documents
• Drafting real estate leases and purchases
• Reviewing and negotiating marketing agreements with third parties and handling related compliance issues
• Assisting with credit facilities
• Handling corporate governance matters

Cummings & Lockwood - The Choice for sophisticated legal counsel.