Prominent Financial and Regulatory Counselors

Investment Advisers

Lawrence Kamin has decades of experience representing SEC and state-registered RIAs in every aspect of their business. We are intimately familiar with the regulatory and other legal nuances in formation, form ADV and other regulatory filings and updates, operational questions, employment or adviser agreements, revenue sharing arrangements, strategic partnerships with outside businesses, dispute resolution, internal investigations, regulatory investigations, self-reporting program guidance, purchases and sales of books of business, mergers with other RIAs, succession planning, and termination or closure. We also counsel advisers in the alternative investment area, including private equity and hedge funds.

RIAs rely upon Lawrence Kamin as their outside general and regulatory counsel, consulting us on both regulatory and general business questions. RIAs also ask us to perform presentations at branch office, annual compliance, or national sales meetings. RIAs trust us to assist them when they are updating compliance manuals or procedures, performing internal investigations, hiring a new adviser, looking over a vendor contract, engaging in litigation, and in countless other circumstances.

Lawrence Kamin maintains this website to provide general information about its services and legal expertise. While we try to keep the information timely and accurate, we make no guarantees. We make every effort to correct errors brought to our attention.  Full Disclaimer