Department profile
Calfee, Halter & Griswold LLP

Investment Funds: Regulatory & Compliance

Global Guide 2026 : USA

Share profile

Calfee, Halter & Griswold LLP

About

Provided by Calfee, Halter & Griswold LLP

Providing expert counsel to the investment management industry is in Calfee’s DNA, with the firm’s history boasting attorneys who have held the very highest positions at the SEC. Calfee's dedicated Investment Management lawyers provide exceptional service and problem-solving expertise regarding all aspects of the public and private securities markets, including asset management, wealth management, fund formation, transactional, regulatory compliance, and enforcement matters for registered and nonregistered persons.

Calfee’s Investment Management practice is comprehensive, working with a depth and breadth of financial professionals unmatched by most Midwest law firms. Clients include:

  • Investment Advisers
  • Private Equity and Private Funds
  • ERISA Investment Fiduciaries
  • Family Offices
  • Broker Dealers
  • Dual Registrants
  • Cryptoasset Traders
  • Mutual Fund Trusts
  • FinTech and Robo-Advisers
  • Investment Bankers and Boutiques
  • Venture Capitalists
  • Insurance Companies
  • Investment Companies
  • Corporate Banks

Calfee’s Investment Management attorneys offer expert counsel and support advisers in the development and administration of their compliance programs, including the creation and implementation of written policies and procedures governing all activities of the adviser and any associated funds. 

Industries (4)

  • Banking, Financial Services and Insurance
  • Partnerships, LLCs and Joint Ventures
  • Private and Family Owned Businesses
  • Public Corporations

Chambers Review

Provided by Chambers

Investment Funds: Regulatory & Compliance - USA

Band 3

What the Team is Known For
Calfee, Halter & Griswold has a distinguished practice in the space. Its practitioners are renowned for their ability to provide counsel on the new SEC Marketing Rule, as well as SEC examinations. The team has further experience of providing counsel on CFTC and FINRA filings.
View ranking table

Strengths

Provided by Chambers

  • Members of their team serve as advisers to the SEC, which gives us an inside track as to what is going on and what is coming from a regulatory and compliance perspective.

    Investment Funds: Regulatory & Compliance respondentGlobal

  • Calfee exceeds all expectations on diligence and we are elated with their representation of our firm. They are diligent, value-driven and we are beyond pleased with our relationship with Calfee.

    Investment Funds: Regulatory & Compliance respondentGlobal

  • They provide practical and actionable advice, as well as a thoughtful analysis of complicated issues.

    Investment Funds: Regulatory & Compliance respondentGlobal

  • Its lawyers are good sounding boards, helpful in discussions and are always quick to find time to help us. They're proactive in ensuring they provide a consistent level of service.

    Investment Funds: Regulatory & Compliance respondentGlobal

Members

Provided by Calfee, Halter & Griswold LLP

  • Terrence Doyle

  • Michael French

  • Arthur Hall

  • Michael Hurley

  • John McGuire

  • John Mongelluzzo

  • Gerald Monroe

  • Douglas Neary

  • Brent Pietrafese

  • Kristofer Spreen

  • Jennifer Vergilii

  • Thomas Welsh

  • Musa Abdul-Basser

  • Sarah Saadeh

  • Patrick Hayes

    Head of Department

What success is built on

Chambers is the leading data and intelligence partner for the legal sector.

Explore thought leadership