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Overview

Providing expert counsel to the investment management industry is in Calfee’s DNA, with the firm’s history boasting attorneys who have held the very highest positions at the SEC. Calfee's dedicated Investment Management team provides exceptional service and problem-solving expertise regarding all aspects of the public and private securities markets, including asset management, wealth management, fund formation, transactional, regulatory compliance and enforcement matters for registered and nonregistered persons.

Calfee’s Investment Management practice is comprehensive, working with a depth and breadth of financial professionals unmatched by most Midwest law firms. Our clients include:

  • Investment Advisers
  • Private Equity and Private Funds
  • ERISA Investment Fiduciaries
  • Family Offices
  • Broker Dealers
  • Dual Registrants
  • Cryptoasset Traders
  • Mutual Fund Trusts
  • FinTech and Robo-Advisers
  • Investment Bankers and Boutiques
  • Venture Capitalists
  • Insurance Companies
  • Investment Companies
  • Corporate Banks

Calfee’s Investment Management attorneys offer expert counsel and support advisers in the development and administration of their compliance programs, including the creation and implementation of written policies and procedures governing all activities of the adviser and any associated funds. Our services include:

  • Manage and direct the effective integration of the Securities Act, Exchange Act, Advisers Act, and the Investment Company Act of 1940 into the firm’s compliance program
  • Direct, enhance, implement, and maintain written policies and procedures governing all compliance activities for the adviser and any associated mutual funds, ETFs, CITs, and private funds to comply with federal and state securities laws
  • Act as the primary compliance liaison for internal and external examiners and assist with matters before the Securities and Exchange Commission, Commodity Futures Trading Commission, Department of Justice, Financial Industry Regulatory Authority, North American Securities Administrators Association, as well as before state securities commissions, attorneys general, and local authorities
  • Conduct due diligence and monitor activities of sub-advisers, third-party managers, and other relevant service providers
  • Draft, coordinate, and review all legal documents of the adviser, including contracts, fund formation documents, adviser and fund regulatory filings, and other related materials.

The firm’s multidisciplinary team offers a full suite of services to its clients that includes attorneys experienced in navigating securities and general corporate compliance, tax, ERISA, private equity, fund formation, M&A, data privacy and security, insurance, government relations, regulatory enforcement and litigation, and intellectual property.

This advanced level of expertise across all facets of the financial services industry gives Calfee the insight and perspective to help you develop and execute market-leading strategies all while mitigating risk and staying inside the regulatory framework.

Noteworthy

Chambers USA 

  • Calfee has been ranked for Corporate/M&A - Ohio: North by Chambers USA in Band 2 in 2021.
  • Calfee's was ranked by Chambers USA in Band 2 for Banking & Finance in Ohio in 2021. 

U.S. News – Best Lawyers® “Best Law Firms” Rankings

Calfee was selected for inclusion in the 2021 "Best Law Firms" rankings by U.S. News – Best Lawyers in the following areas:

  • Corporate Compliance Law (Metropolitan Tier 2 Cleveland)
  • Corporate Governance Law (Metropolitan Tier 2 Cleveland)
  • Corporate Law (National Tier 2, Metropolitan Tier 1 Cleveland, Metropolitan Tier 1 Columbus, Metropolitan Tier 2 Cincinnati)
  • Securities/Capital Markets Law (National Tier 3, Metropolitan Tier 1 Cleveland)
  • Securities Regulation (National Tier 2, Metropolitan Tier 1 Cleveland)
  • Tax Law (Metropolitan Tier 1 Cleveland)
  • Venture Capital Law (National Tier 2, Metropolitan Tier 1 Cleveland)
  • Chambers USA 2021 - Firm/Ranked Practice Group
  • Best Law Firms 2021

Professionals

Professionals

Laura E. Burg
Laura E. Burg
Compliance Operations & Risk Consultant
513.693.4837
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Arthur C. Hall III
Arthur C. Hall III
Firm Administrative Partner and Partner-in-Charge, Cleveland
216.622.8667
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Thomas M. Welsh
Thomas M. Welsh
Co-Chair, Corporate and Finance
216.622.8529
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Experience

Experience

Calfee’s Investment Management team has counseled its investment adviser and broker-dealer clients for decades, from small firms with less than $50 million in assets under management to large institutional managers with hundreds of billions of assets under management and a national and global presence.

Clients' Work

Client Feedback

Client Feedback

"Calfee, Halter & Griswold has outstanding expertise in SEC regulation of registered investment advisors. We have had helpful advice in writing our ADV and answering many other regulatory questions. Calfee works well with our internal compliance professionals." 

– Calfee client, as reported by U.S. News – Best Lawyers® in the 2019 “Best Law Firms” rankings report

News & Events

News

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    Calfee's Corporate and Finance practice "draws from an impressive statewide team with a strong track record across a broad range of corporate and transactional matters, acting on behalf of public and private businesses and financial institutions. Areas of excellence include M&A, securities offerings and private equity and venture capital fund formation. [Calfee also] offers notable capital markets expertise, with particular strengths in acting for underwriters."

    Researcher comments from the Chambers USA 2021 Guide

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