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A Better Partnership

Funds and Investment Services

Intro

We’re committed to representing private investment funds, investors, broker-dealers and investment advisers. As one of our first practice groups formed in our founding days, we have unparalleled experience in securities regulation, offerings, litigation and enforcement issues.
 
Our attorneys are involved in advisory roles at the national level and assist clients with compliance exams and training, investigations, private securities offerings, mergers and acquisitions involving broker-dealers and investment advisers, and change of control and other regulatory issues affecting broker-dealers and investment advisers.
 
Whether you are forming and distributing fund investments to investors or are in need of advice regarding federal and state securities regulation of private investment funds, our attorneys and compliance consultants can tailor a strategy for your needs. We invite you to connect with our professionals and explore our services.
 

Co-chairs

Loren Andrulis

+1.616.752.2182

Email

Shane B. Hansen

+1.616.752.2145

Email

Funds and Investment Services

Funds and Investment Compliance Consulting

Related Publications

Professionals

Order list by:
Photo of Malachi Alston
Malachi Alston
+1.248.784.5056
Photo of Loren Andrulis
Loren Andrulis
+1.616.752.2182
Photo of Kristina Araya
Kristina Araya
+1.616.752.2712
Photo of Edward Bardelli
Edward Bardelli
+1.616.752.2165
Photo of Devin Bone
Devin Bone
+1.248.784.5030
Photo of Sean Cook
Sean Cook
+1.248.784.5058
Photo of Diane Currie
Diane Currie
+1.248.784.5021
Photo of Dana Dawe
Dana Dawe
+1.616.752.2526
Photo of Shane Hansen
Shane Hansen
+1.616.752.2145
Photo of Timothy Horner
Timothy Horner
+1.616.752.2180
Photo of Matthew Johnson
Matthew Johnson
+1.616.752.2529
Photo of Norbert Kugele
Norbert Kugele
+1.616.752.2186
Photo of William Lentine
William Lentine
+1.248.784.5061
Photo of Hugh Makens
Hugh Makens
+1.616.901.7097
Photo of Rodney Martin
Rodney Martin
+1.616.752.2138
Photo of Brian Masternak
Brian Masternak
+1.616.752.2205
Photo of John Muhs
John Muhs
+1.248.784.5165
Photo of Jeffrey Ott
Jeffrey Ott
+1.616.752.2170
Photo of Lisa Zimmer
Lisa Zimmer
+1.248.784.5191

Services

Broker Dealer Services

We represent retail and investment banking brokerage firms that rely on our expertise in administrative investigations involving the SEC, FINRA, NYSE and SRO. Warner attorneys are well connected in the industry, as many members of our team held positions as federal and state government securities regulators. In addition, our attorneys have served on securities advisory committees and on boards with the NASAA. We help create compliance manuals, supervisory procedures, special supervision submissions to FINRA, no-action rulings and provide legal advice to general counsel and compliance officers who are confronted with day-to-day challenging situations. Mergers and acquisitions among broker-dealers, banks and insurance companies are an everyday occurrence in the industry. As counsel to the Michigan Bankers Association and to numerous banks, our firm prides itself on successfully creating bank and broker-dealer relationships. It’s this kind of real world expertise that drives the results you can expect from a partner like Warner.
 
 
Compliance Consulting

Our compliance consultants guide clients through regulatory challenges and requirements enforced by the SEC as well as state regulators. Through a variety of customized services, we provide registered investment advisers (RIAs) and brokerage firms with numerous resources to keep you current on reporting and compliance demands. We educate and train advisers on the Code of Ethics, Regulation S-ID and other topics of interest. Please visit the Funds and Investment Compliance Consulting page for more information.
 
 
Investment Adviser Services

Investment advisers, money managers and financial planners must adhere to numerous state and federal securities regulations, including the Securities Act, the Exchange Act, the Advisers Act, the Commodity Exchange Act, Dodd-Frank, and various FINRA rules. That’s where Warner attorneys step in to create a plan for your investment firm that includes risk management and regulatory compliance. We’ll guide you through the investment adviser and investment adviser representative registration process, whether at the federal or state level, and prepare and update form ADV, as well as related narratives and disclosures. We also help CPOs and CTAs register with the CFTC and submit initial and ongoing filings to the NFA. In addition, we provide compliance program policies and procedures, along with service contracts and agreements with both employed advisory representatives and independent contractors. From wrap fee program design to remedial action, we’re here to help you navigate the securities landscape.

 
Private Fund Services

At Warner, we advise on multiple hedge fund, venture capital and private equity fund structures, including managed accounts, funds-of-one, master-feeder structures, series funds, parallel funds and funds-of-funds. We will prepare for you a comprehensive set of offering documents, including private placement memoranda, limited partnership agreements, subscription agreements, investment management agreements, management entity agreements, side letters and seeding arrangements. In addition, we routinely provide advice on service provider contracts, including fund administration and auditor agreements. We also oversee numerous regulatory filings, including Form PF, Form CPO-PQR, Form CTA-PR and various Form TIC filings. Not only do we represent funds themselves in the organization, capital-raising and portfolio company investment stages, but we also represent fund investors. We stand ready to counsel investors in review of investment and subscription documentation, negotiation of side letter agreements, and tax structuring.

 
Full-Service Support

In our representation of private investment funds, investors, broker-dealers and investment advisers, clients should know that they have the weight of a full-service law firm behind them. Our experienced legal team is here to assist you in tax, ERISA, litigation and employment-related matters.

Case Studies

Testimonials

Events

Feb 2019
13
February 13, 2019

CANCELED--Chief Compliance Officer Roundtable - February 13, 2019

The Skyline Club

CANCELED DUE TO INCLEMENT WEATHER. We will be sending a new invitaiton when the roundtable has been rescheduled. You’re invited to join the Warner Norcross + Judd Chief Compliance Officer Ro...

Nov 2018
14
November 14, 2018

Roundtable - Chief Compliance Officer

The Skyline Club

You’re invited to join the Warner Norcross + Judd Chief Compliance Officer Roundtable, where we'll exchange information, ideas and best practices relevant to chief compliance officers. Th...

Oct 2018
12
October 12, 2018

2018 Midwest Securities Law Institute

Michigan State University College of Law

Michigan State University College of Law is pleased to invite you and your colleagues to its Midwest Securities Law Institute to be held on Friday, October 12, 2018, at Michigan State University Co...

NOTICE. Although we would like to hear from you, we cannot represent you until we know that doing so will not create a conflict of interest. Also, we cannot treat unsolicited information as confidential. Accordingly, please do not send us any information about any matter that may involve you until you receive a written statement from us that we represent you.

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