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SEC-Registered Investment Advisers

Attorney Daphne Tippens Chisolm offers counseling to both small and large-sized registered investment advisers throughout the nation to ensure they are in compliance with the Investment Advisers Act of 1940. Ms. Chisolm has 15 years of experience in both federal and state securities law, eight of which were spent working for the Securities and Exchange Commission (SEC) in the Division of Investment Management.

She is able to assist you on a wide range of Investment Advisers Act regulatory and compliance issues, including:

  • Preparation of charter documents and Forms ADV
  • Preparation and review of investment advisory agreements
  • Counseling on investment adviser advertising, performance, and website issues
  • Responding to SEC deficiency letters
  • Representation before the SEC
  • Drafting requests for no-action relief
  • Drafting routine and non-routine exemptive applications

For more information about the services Ms. Chisolm offers to federally registered investment advisers, please contact the Law Offices of DT Chisolm, PC

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Address: 11524 C-236 Providence Road Charlotte, NC 28277 Phone: 704-806-2387