Investment Advisers

Evans & Kob counsels registered investment advisers, including retail, private fund and dual registration status, in formation, operations and regulation under the Investment Advisers Act of 1940, the Investment Company Act of 1940, the Securities Act of 1933 and the Securities Exchange Act of 1934.

Our firm counsels on:
  • Formation: choice of entity (LLCs, partnerships, S corps and C corps), governing documentation (operating agreements, partnership agreements and by-laws), and capital structure (structuring and tax considerations of investment and financing transactions)
  • Registration with the Securities and Exchange Commission (SEC) and state securities regulators
  • Preparation of charter documents and Forms ADV (Part I and II)
  • Consult on various issues faced on a continuous basis, including on conflicts of interest, and fiduciary duties
  • Draft and review of investment advisory agreements, financial planning contracts and solicitor’s arrangements
  • Counsel on investment adviser advertising, performance, and website issues
  • Develop and evolve Written Supervisory Procedures (WSPs)
  • Develop and implement compliance programs
  • Due Diligence (Third Party Services Providers, Issuers, Money Managers)
  • Anti-money laundering (AML) compliance
  • Internal audits and investigations
  • Internal audits and investigations
  • Preparation and response to SEC and regulatory examinations, inquiries, deficiencies and enforcement proceedings
  • Transactional matters including employment, joint ventures and purchase and sale agreements

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If you wish to speak with an attorney about your needs and questions in any of these areas, please contact us at info@eklawpc.com.

Interested in our services? We would appreciate hearing from you!