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A Better Partnership

Funds and Investment Services


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.


Joscelyn (Josie) Cekola Boucher



Funds and Investment Services

Funds and Investment Compliance Consulting

Related Publications


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Loren Andrulis
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Kristina Araya
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Sean Cook
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Diane Currie
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Dana Dawe
Photo of Shane Hansen
Shane Hansen
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Timothy Horner
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Matthew Johnson
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Celia Kaechele
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Norbert Kugele
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Mary Jo Larson
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William Lentine
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Brian Masternak
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John Muhs
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Robin Yono


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



Jun 2021
June 02, 2021

Virtual CCO Roundtable Series: SEC Exams During COVID-19


You are invited to join Warner’s virtual complimentary CCO Roundtable discussion focused on “SEC Exams During COVID-19,” on Wednesday, June 2, 2021, at noon, where we will discuss...

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.

By clicking the ‘ACCEPT’ button, you agree that we may review any information you transmit to us. You recognize that our review of your information, even if you submitted it in a good faith effort to retain us, and even if you consider it confidential, does not preclude us from representing another client directly adverse to you, even in a matter where that information could and will be used against you.

Please click the ‘ACCEPT’ button if you understand and accept the foregoing statement and wish to proceed.



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