Investment Counseling

We have been advising investors since our inception.  Our clients include registered investment advisors, financial advisors, high-net worth investors, family offices, among others. We counsel our clients on the full spectrum of formation, investment, transactional, regulatory, due diligence and compliance matters. We focus on aiding our clients in establishing precisely defined objectives and then employing a path to achieving the objectives.

We take an interdisciplinary approach to counseling financial services clients. We are knowledgeable about the relevant laws affecting the industry in the United States and California in particular. We have worked with the US Securities and Exchange Commission (SEC) and California state regulators.

We understand the regulations governing the financial services industry. That includes US federal and state securities laws; the Employee Retirement Income Security Act (ERISA); the Internal Revenue Code; commodities regulation; US federal and state banking and insurance laws; securities laws outside the United States; and relevant laws of various international jurisdictions.

We are also very experienced in advising clients concerning the negotiation and due diligence on financial derivatives under the ISDA documents.