Investment Advisors
Tonkon Torp provides planning, organization, regulatory and compliance counsel for investment advisors of all sizes — and at all stages of growth. We also advise unregistered advisory firms on the availability and scope of exemptions from registration.

Clients value our skill in navigating the complexities of investment regulation and compliance. They also appreciate our ability to leverage the strengths of a wide range of practice areas to address their needs, including:
  • Employee licensing requirements
  • Compliance programs and compliance manuals, including codes of ethics and insider trading restrictions
  • Product development
  • Advisory, sub-advisory and brokerage agreements
  • Marketing agreements, including selling agreements and solicitation agreements
  • Executive compensation issues, including employment, non-competition and non-solicitation agreements
  • Advertising and sales literature issues
  • Advice on SEC and FINRA examinations
  • Mergers and acquisitions, including sales, acquisitions and spin-offs
  • Tax and succession planning
  • Litigation and arbitration, including shareholder disputes and defending enforcement matters