Bryan Hill Law
With decades of experience, Bryan Hill combines practical legal insight with deep industry knowledge to help investment adviser firms and representatives manage legal risks, stay compliant and thrive under SEC and state regulatory oversight.
Our Legal Services
Key Advisory Agreements
Bryan Hill Law can assist you in preparing asset management agreements, turnkey asset management program agreements, sub-advisory and co-advisory agreements, financial planning and consulting agreements, investment consulting agreements, signal/model provider agreements, joint marketing agreements, solicitor/promoter arrangement agreements, adviser/bank networking agreements, bill pay service agreements, tax preparation service agreements, confidentiality and non-solicit agreements, independent contractor investment adviser representative (IAR) agreements and third-party vendor service agreements.
Buy-Sell of Practices/Firms
When investment advisers join new firms, buy or sell client relationships, acquire or merge entities, or plan for succession, they face both legal complexity and regulatory scrutiny. Bryan Hill Law helps investment advisers structure transactions, review representative agreements, draft purchase agreements and promissory notes and prepare assignment notices intended to meet fiduciary and compliance obligations. The goal is to ensure smooth transitions—protecting both the adviser’s business value and the client’s trust.
Internal Investigations of Customer Complaints
An internal complaint or allegation can quickly escalate if not handled correctly. Bryan Hill Law conducts independent internal investigations of customer complaints and potential compliance breaches. Our approach combines legal rigor with practical judgment, helping investment advisers resolve issues before they reach regulators or litigation.
Regulatory Investigations
Investigations by the U.S. Securities and Exchange Commission (SEC), Nebraska Securities Bureau or Iowa Insurance Division require prompt, strategic legal guidance. Bryan Hill Law represents investment advisers during regulatory enforcement investigations. With decades of experience in adviser regulation, he provides calm, informed counsel focused on mitigating regulatory risk and protecting the investment adviser’s reputation.
Investment Adviser Agreements Lawyer
About Bryan Hill Law
Bryan Hill is a securities attorney providing legal counsel to investment advisers in Nebraska, and Iowa.
His legal practice is grounded in decades of firsthand experience with the securities industry, combining regulatory knowledge with practical business insight to help advisers operate with clarity and confidence.
Before entering private practice, Bryan was president of an independent broker where his duties included leading compliance and supervision teams with responsibility for 1,400 registered representatives/investment adviser representatives. Bryan has also served as in-house counsel to a financial services company where he managed securities arbitration defenses, provided guidance on broker-dealer and investment adviser regulations, and coordinated responses to SEC and state regulatory investigations.
Bryan graduated with distinction from the University of Nebraska College of Law. He has completed the Securities Industry Institute at the Wharton School of Business, University of Pennsylvania, and has passed multiple regulatory examinations, including the Series 7, Series 24, Series 65, and Series 66. Bryan has served as a FINRA arbitrator and is trained as a mediator. He is an approved Investment Adviser Representative Continuing Education (IAR CE) instructor and regularly teaches continuing education courses to investment adviser representatives nationwide.
This breadth of experience enables Bryan to deliver pragmatic, well-informed legal counsel to investment advisers navigating complex SEC and state regulatory environments.