Cummings & Lockwood LLC
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Investment Management

Cummings & Lockwood’s Investment Management practice provides goal-oriented, practical counsel to some of the country’s most prominent investment advisers and investment management firms. We guide clients in all aspects of their business operations – from inception through growth.

Our attorneys provide advice in all areas of business creation and structuring, including:

  • Creation of investment management firms
  • Registration with the state or the Securities & Exchange Commission (SEC)
  • Creation and administration of effective compliance programs
  • Formation of investment funds
  • Serving as advisers to mutual funds
  • Managing a broad range of day-to-day business issues

We also work with investment management clients to form hedge funds and other pooled investment vehicles. This includes providing advice on the structure of funds; preparing formation, disclosure and offering documents; providing registration and exemption advice; assisting with compliance issues; and delivering ongoing legal support.

We provide legal advice and assistance to investment management clients on a wide variety of matters that encompass:

  • Drafting and negotiating investment management agreements
  • Developing and implementing compliance programs, including Regulation D compliance, and providing ongoing compliance advice and assistance
  • Conducting compliance reviews of existing programs
  • Reviewing marketing and advertising materials
  • Preparing formation documents for funds and their general partners
  • Drafting disclosure and subscription materials distributed to fund participants
  • Providing counsel to investment adviser clients regarding responsibilities involved in advising mutual funds
  • Providing counsel to business owners on ownership and succession planning issues
  • Preparing buy-sell agreements, stockholder agreements and LLC operating agreements
  • Assisting with regulatory exam preparation
  • Advising funds and advisers regarding registration exemptions
  • Establishing Investment Adviser Registration Depository (IARD) enablement and filing submissions
  • Handling U.S. Securities and Exchange Commission (SEC) and state blue sky filings
  • Drafting employment and consulting agreements and related documents
  • Drafting real estate leases and purchases
  • Reviewing and negotiating marketing agreements with third parties and handling related compliance issues
  • Assisting with credit facilities
  • Handling corporate governance matters

Cummings & Lockwood - The Choice for sophisticated legal counsel.

Name Title Practice Group Office Phone Email vCard
Principal Corporate & Finance Group Naples, FL 239.649.3186