Investment Professionals

Regulation. Risk. Relationships. Navigating the complexities of fiduciary law, regulatory compliance, and investment operations requires more than experience—it requires insight. At Baumgard + Fedance, we partner with investment professionals, RIAs, broker-dealers, banks, and trust companies to help them grow with confidence, protect client interests, and stay ahead of regulatory change.

Whether you’re developing an innovative retirement product, expanding services to ERISA-covered plans, or responding to a compliance review, our team provides strategic legal counsel across all stages of your business—from formation and platform development to operations and enforcement defense.

We provide actionable, compliance-focused guidance to financial professionals operating in a landscape shaped by evolving fiduciary rules and regulatory scrutiny. Our attorneys understand the financial services industry and help structure legally sound advisory relationships and investment offerings.
  • Counsel relative to ERISA, the Investment Advisers Act, and the Investment Company Act
  • Drafting and review of advisory agreements, consulting agreements, and account documentation
  • Structuring of compensation arrangements and revenue sharing strategies
  • Advice on wrap-fee programs, model portfolios, managed accounts, brokerage windows, and self-directed options
  • Support for investment management agreements, collective investment trusts, and fund participation arrangements

We advise RIAs and dual registrants on the full lifecycle of regulatory compliance. From regulatory filings to compliance operations, we help firms stay ahead of enforcement trends and avoid costly missteps.
  • Form ADV drafting, updating, and compliance review
  • Ongoing regulatory monitoring and updates
  • Preparation and review of compliance manuals and internal procedures
  • Addressing dual-hat concerns and interaffiliate arrangements

We advise on the growth and governance of investment firms and financial intermediaries, including legal structuring of business lines, platforms, and affiliate services.
  • Drafting of solicitor, sub-advisory, and model portfolio manager programs
  • Review of retirement plan service agreements and fund disclosures
  • Guidance on mergers, acquisitions, and joint ventures
  • Counsel on platform integrations, technology contracts, and co-branded arrangements

Our attorneys defend firms in government investigations and offer proactive compliance strategies to help avoid enforcement in the first place. We regularly represent advisers, broker-dealers, and trust companies in regulatory matters.
  • SEC, FINRA, DOL, and state securities enforcement matters
  • Mitigation strategies and remediation planning for violations

Through educational programs, publications, and legal alerts, we help investment professionals stay current, engaged, and prepared to serve their clients effectively in a complex legal environment.
  • Custom fiduciary training sessions for advisers, compliance staff, and clients
  • Regulatory alerts, legislative tracking, and policy briefings
  • Whitepapers and client-ready education on ERISA and fiduciary matters
  • Co-branded compliance and investor education tools

Partnering for Impact

At Baumgard + Fedance, we help investment professionals navigate fiduciary obligations, regulatory frameworks, and operational complexity with confidence. Whether you're working to secure new clients, launching a new platform, or reviewing a compliance program — we’re here to support your growth.

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