REGISTERED INVESTMENT ADVISORS

Registered Investment Advisors (RIAs) face a range of legal, regulatory, and compliance challenges that require thoughtful and effective solutions. Our team helps RIAs navigate these complexities, providing practical strategies to address issues that can hinder their ability to serve clients. With a focus on clear and actionable guidance, we work closely with RIAs to minimize risks and meet regulatory requirements, allowing them to focus on their business and clients.

The following is a selection of the services we provide to RIAs and their clients throughout the Pacific Northwest:

• Securities Enforcement Defense: Defending RIAs in securities enforcement investigations and actions brought by the SEC and the State of Washington DFI; counseling clients on regulatory and reporting issues; and collaborating with compliance consultants on legal aspects of compliance matters.
• Litigation/Arbitration: Defending RIAs against customer claims asserted privately or in court or arbitration; negotiating and mediating resolutions of customer claims; and investigating and prosecuting claims by RIAs against investment sponsors.
• Employment Issues: Drafting employment agreements; negotiating severance agreements; defending against employment matters including traditional, contractual, and public policy claims; litigating the enforceability of employment agreements such as non-compete and non-solicitation provisions; protecting confidential information and trade secrets; addressing electronically-stored information (“ESI”) on personal devices; and prosecuting or defending temporary restraining order (“TRO”) and injunctive relief actions in federal and state courts or arbitration forums.

Our goal is to offer RIAs the tools and advice they need to succeed in a heavily regulated industry. By partnering with us, RIAs can operate with confidence, knowing they have a team of experienced attorneys supporting their business every step of the way.