Investment Management

Brook and Franklin Consulting Group's Investment Management Legal Practice Team recognizes the fact that investment advisors and broker-dealers contribute to the foundation of the investment management industry.

With our excellent and well-experienced Investment Management legal practice team, we provide a variety of legal services that assist investment advisors, broker-dealers and other market participants through the exigent and demanding regulatory and business requirements they encounter. We are aware of the current business trends and evolving regulatory issues that form the investment management industry and expect how these variations could influence investment advisors and brokers relevant business models.


We understand that almost all investment advisors proffer a wide-range products and services offerings employing a broad range of business models, sophisticated electronic trading platforms and even industry associations. Our legal practice in investment management adds value to the investment advisors business operations through our innovative, sensible and hands-on legal advice, allowing managers and operating staffs to concentrate on client service and developing their respective businesses. We have legal experience in representing investment advisors in extensive scope of organization, operational and regulatory issues, including advisors to managed accounts, advisors to family-owned and operated business, advisors to pooled investment instruments and advisors who offer inclusive wealth management and financial services.

At Brook and Franklin Consulting Group, we believe that our Investment Management Legal Practice Team can afford to provide exceptional value proposition to all our clients in the investment management industry. We also believe that our value proposition is outstandingly pleasing to our business clients comfortable to using larger and national consultancy firms. While we understand that larger and national law companies are suited for some investment matters, we believe that through our legal strategy to billing and staffing, our Investment Management Legal Practice Team can better serve some of the continuing legal needs of the investment advisors, broker-dealers and other market participants. To provide the most effective and efficient legal advice, we assign associate to each project in order to maintain team stability and ensures immediate response and experience service to our clients.

Below are some of our clients we represent on legal issues concerning investment management:

Investment Advisors

We provide our investment advisors with complete range of investment management legal services customized to each advisor's business models and offered services. For our investment advisor clients, we offer the following legal services:

Institutional Investors

We have years of legal experience speaking on behalf of some investors including family-operated business offices, high-net worth investors, endowments, pension funds in various issues, such as:

Broker and Dealers

At Brook and Franklin Consulting Group, our Investment Management Legal Practice team has years of exclusive legal experience on counseling brokers and dealers in relation a n expansive range of regulatory and compliance matters, including but not limited to:

Hedge Funds

Brook and Franklin Consulting Group's legal experience in the hedge fund industry includes the many aspects of hedge funds businesses and other hedge funds related ventures. We provide nearly perfect legal representation on hedge funds with global reach through our long-lasting relationships with some of the leading international firms concentrating on investment management issues. Our experience in hedge fund includes:

Private Equity and Venture Capital

Our consultants are also known for their excellent legal experience in private equity and venture capital legal issues. We provide effective and inclusive legal advice that allows our clients to formulate decisions immediately. Our legal practice team comprised of legal veterans who execute in-depth and exhaustive due diligence, providing updated and cost-efficient market analysis that creates impression and backs up our clients due diligence initiatives.