Bryan Hill Law

Bryan Hill Law can help investment adviser firms in Iowa and Nebraska conceptualize, structure, draft and negotiate agreements governing their client relationships, strategic partnerships, service offerings and business operations.

Depending on the nature and scope of the engagement, the process may begin with developing an understanding of the firm’s business objectives, service model, operational capabilities and regulatory obligations. Drawing on experience in the investment advisory industry, business management, regulatory compliance and dispute resolution, Bryan can assist firms in evaluating how a proposed arrangement might be structured before drafting begins. This may include identifying practical, regulatory and contractual risks; clarifying the respective responsibilities of the parties; and developing provisions intended to reduce ambiguity, compliance concerns and the potential for future disputes.

A central part of Bryan’s approach is incorporating an investment adviser compliance perspective into the agreement-development process. As appropriate to the engagement, he considers not only whether an agreement is legally sound, but also whether its terms appear consistent with the firm’s fiduciary obligations, regulatory disclosures, compliance policies, supervisory procedures and actual business practices. This analysis may help identify provisions that could create obligations the firm may be unable to fulfill operationally, conflict with its Form ADV or other disclosures, or increase the potential for regulatory challenge or client disputes.

Bryan Hill Law assists investment advisers with arrangements that may include the following:

• Asset management agreements;
• Turnkey asset management program agreements;
• Sub-advisory and co-advisory agreements;
• Financial planning and consulting agreements;
• Investment consulting agreements;
• Signal and model provider agreements;
• Joint marketing and strategic alliance agreements;
• Solicitor and promoter arrangement agreements;
• Adviser and bank networking agreements;
• Bill-pay service agreements;
• Tax preparation service agreements;
• Confidentiality and non-solicitation agreements;
• Independent-contractor investment adviser representative agreements; and
• Third-party technology and vendor service agreements.

No particular result or outcome can be guaranteed. The services described above are illustrative and may not be included in every representation. The nature and scope of the legal services provided will depend on the facts and circumstances of the matter and the terms of the applicable engagement agreement. Clients should refer to their engagement agreement to determine the specific services Bryan Hill Law has agreed to provide.

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.

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.

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.