Investment Adviser Lawyers

Thompson Hine’s Investment Management lawyers have extensive experience with federal and state regulatory issues affecting investment advisers providing services to domestic and offshore hedge funds, registered investment companies, private equity funds and separately managed accounts.

Registration with either the Securities and Exchange Commission (SEC) or the appropriate state securities commissioner is required of any firm (or individual) that holds itself out to the public as an investment adviser and who, for compensation and as part of its regular business, gives advice, makes recommendations, issues reports or furnishes analysis on securities or the advisability of investing in securities.  As a result of the Dodd-Frank Wall Street Reform and Consumer Protection Act, many advisers to hedge funds and private equity will now be required to register with the SEC or the appropriate state.  In addition, many advisers currently registered with the SEC will now be required to register with state securities commissioners instead.