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3-Part Series on the
DOL’s New Fiduciary Rule


The Securities Law Group is a specialized boutique law firm dedicated exclusively to representing investment advisers.


The firm is led by an experienced securities attorney who has more than 35 years of experience in investment management


The firm assists emerging managers as well as seasoned industry professionals with all aspects of the investment advisory business.

Partner With Us

We’ll work tirelessly to help your business flourish. Learn more by calling 415.644.9501 or reaching out to us online.


Affordable Representation for the Middle Market

Our business goal is to provide the expertise of a large law firm across all areas of the law affecting investment advisers while offering the cost savings and accessibility typically found only at small firms. Whether you are a seasoned professional or an emerging manager, you are invited to CONTACT US to learn how The Securities Law Group can serve all your legal needs for approximately half the cost of larger law firms.


James E. Grand, Esq. — A Lawyer Who Thinks Business

Twenty years of in-house business experience at a Fortune 50 investment firm in New York combined with partner-level experience at a leading law firm in San Francisco distinguishes Mr. Grand from other attorneys practicing in this area. The Securities Law Group has represented several hundred investment advisers and hedge funds, private equity funds and venture capital funds. Our unique combination of business and legal experience adds value and context to legal advice you need and can use. You are invited to CONTACT US to learn how The Securities Law Group can help you succeed in business.


Every investment professional who intends to succeed as a money manager needs the right mix of performance results, industry experience and business know-how in order to make it in the very demanding investment advisory business. To attract sophisticated clients, the manager will need to develop a sound funding and marketing plan. To remain compliant with the myriad of applicable securities laws and regulations, the manager will need to engage a capable team of service providers.


We are a recognized leader in advising and representing separate account managers at both the SEC and the state levels. Our representation of investment advisers encompasses all aspects of their business – from their initial organization and capitalization to ongoing compliance with complex and evolving requirements of the Investment Advisers Act, the Investment Company Act, the Securities Act, the Securities Exchange Act and the Commodity Exchange Act, as well as often conflicting regulations of the various states.


In view of the commitment of time and money required to form a viable alternative investment vehicle, a large part of our practice is focused on emerging managers who prefer to gradually work up to a full-fledged hedge fund. Our cost-effective incubator fund services range from forming and registering the management company to advising managers on their fund’s structure, marketing materials and the selection of service providers. The goal is to enable the prospective manager to determine the potential interest in the fund prior to undertaking the costly step of preparing formal offering documents.


Approximately half our practice is devoted to advising hedge funds and their managers. We assist emerging as well as seasoned managers with all aspects of the fund formation process. Our cost-effective and comprehensive legal services include advising managers on fund structure and preparing offering documents tailored to each manager’s investment strategy. Our expertise extends to a full menu of strategies and asset classes, including long-short equity, quantitative, multi-strategy, fixed-income, sector-specific, funds-of-funds and more.


We have extensive experience forming offshore funds for managers who expect to attract predominately tax-exempt U.S. investors and/or non-U.S. investors. Our expertise extends to multiple offshore fund jurisdictions, notably the British Virgin Islands and the Cayman Islands, where we have longstanding relationships with local counsel. We form stand-alone offshore funds, parallel fund structures and master-feeder structures, depending on each client’s circumstances and fund expectations.


We assist managers with all aspects of the commodity pool formation process. Our comprehensive legal services include CPO \ CTA registrations and exemption filings with the CFTC and NFA and preparing disclosure documents tailored to each manager’s respective investment strategy and fund structure.

Contact Us

We’ll work tirelessly to help your business flourish. Learn more by calling 415.644.9501 or reaching out to us online by filling out the form below.