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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 2022

Calfee Partner Patrick D. Hayes is ranked and recognized in Chambers USA 2022 in Investment Funds: Regulatory & Compliance (Band 3, USA: Nationwide).

Calfee's Corporate/M&A practice is ranked in Chambers USA 2022 in Band 2, Ohio: North.

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

Calfee was selected for inclusion in the 2022 "Best Law Firms" rankings by U.S. News – Best Lawyers in the following areas:

  • Corporate Compliance Law (Regional Tier 2 Cleveland)
  • Corporate Governance Law (Regional Tier 1 Cleveland)
  • Corporate Law (National Tier 2, Regional Tier 1 Cleveland, Regional Tier 1 Columbus, Regional Tier 2 Cincinnati)
  • Leveraged Buyouts and Private Equity Law (Regional Tier 2 Cleveland)
  • Securities / Capital Markets Law (National Tier 3, Regional Tier 1 Cleveland)
  • Securities Regulation (National Tier 2, Regional Tier 1 Cleveland)
  • Tax Law (Regional Tier 1 Cleveland)
  • Venture Capital Law (National Tier 2, Regional Tier 1 Cleveland)

Professionals

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.

News & Events

News

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"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 “Best Law Firms” report

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