Gravel & Shea has an active investment management practice group. We assist in forming investment advisers, venture capital firm structures, and other wealth management practices, including advising firms on regulatory compliance from start-up through the life cycle of the business to sale or dissolution.
Members of our group have been integrally involved with revisions to the Vermont Securities Act and other important securities legislation in Vermont.
Services & Capabilities
- Acquisitions and sales of investment advisory businesses
- Fund and management company formation
- Form ADV, Form D, and Blue Sky filings with the Securities and Exchange Commission (the SEC) and various state regulators
- Advise non-US financial institutions wishing to engage in activities subject to US jurisdiction
- Represent investors, clients, broker-dealers and registered persons various regulatory issues before state regulators, the SEC, and FINRA, as well as in FINRA mediation and arbitration