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Awards & Recognition
Seward & Kissel Recognized as Top Professional Services Firm in Wealth Management by Wealth Solutions Report
May 7, 2025
Awards & Recognition
Seward & Kissel Recognized as Top Professional Services Firm in Wealth Management by Wealth Solutions Report
May 7, 2025
Awards & Recognition
Seward & Kissel Recognized as Top Professional Services Firm in Wealth Management by Wealth Solutions Report
May 7, 2025
Awards & Recognition
Seward & Kissel Recognized as Top Professional Services Firm in Wealth Management by Wealth Solutions Report
May 7, 2025
Overview
Seward & Kissel’s wealth management practice draws on the firm’s deep roots in the financial services industry to deliver comprehensive legal counsel to a broad range of market participants.
We advise registered investment advisers, independent wealth managers, bank‑affiliated wirehouses, full‑service and limited‑purpose broker‑dealers, hybrid wealth manager/broker-dealers, accounting firms, and affiliated financial services firms across the full lifecycle of their wealth management and related businesses.
Our work spans a wide range of matters, including investment and fund management, regulatory and compliance matters, examinations, enforcement and litigation, mergers and acquisitions, majority and minority stake transactions, joint ventures, employment, tax, and other corporate matters.
Our team includes former senior officials from the U.S. Securities and Exchange Commission, the Financial Industry Regulatory Authority, the Consumer Financial Protection Bureau, and the Department of Justice. This experience informs practical, strategic advice that reflects a clear understanding of regulatory expectations and business realities. We are guided by a commitment to knowing our clients’ businesses, allowing us to deliver advice that is tailored, informed, and aligned with their long‑term objectives.
In addition to advisory, regulatory, and compliance work, Seward & Kissel is one of the leading M&A law firms in the wealth management industry, representing wealth managers, registered investment advisers, broker‑dealers, and other industry participants in buy‑side and sell‑side transactions, including mergers and acquisitions, majority and minority stake sales, joint ventures, wirehouse/platform lift-outs, and spin off transactions.
Capabilities
Related Practice Areas
Representative Work
- Represented AlTi Global, Inc. (NASDAQ:ALTI) in connection with its 2023 formation and public listing on NASDAQ resulting from the merger of Tiedemann Advisors, TIG Advisors, UK-based Avlarium Investments Limited and Cartesian Growth Corporation, and its subsequent acquisitions of East End Advisors and Envoi, LLC.
- Represented Riverbridge Partners, LLC, an investment management firm with over $11 billion in assets under management, in its partnership with Lincoln Peak Capital Management, LLC.
- Represented Singer Burke Capital Management and Singer Burke Zimmer & Kogan, a wealth management firm with $1.2 billion in assets under management, and its affiliated accounting firm, in connection with their sale to Mercer Global Advisors.
- Represented Kudu Investment Management, a provider of permanent capital solutions to the asset and wealth management industries, in connection with its minority equity investments in wealth management firms Bingham Osborn and Scarborough, Douglas Winthrop Advisors, First Long Island Investors, GenTrust, LLC, Sequoia Financial Group, and TIG Advisors (now AlTi Global).
- Represented Integrity in connection with the restructuring and consolidation of its registered investment adviser and broker-dealer affiliates into a unified wealth management business unit operating under newly-branded Integrity Wealth.
- Represented The Investment Center, Inc., a broker-dealer and registered investment adviser in connection with the sale of its business to LPL Financial LLC (NASDAQ:LPLA).
- Represented Journey Strategic Wealth, a wealth management firm with approximately $5 billion in assets under management, in connection with its sale to Hightower Advisors.
- Represented Mission Wealth, a leading wealth management firm with over $10.6 billion in assets under management, in connection with its investment from Great Hill Partners, a private equity firm targeting investments in high-growth companies.
- Represented Emigrant Partners, a subsidiary of New York Private Bank & Trust, in connection with its minority investments in wealth managers Autus Asset Management, Gerber Taylor Capital Advisors, NorthRock Partners, Parallel Advisors, Pure Financial Advisors, and Stratos Wealth Holdings.
- Represented iM Global Partner, a Paris-based worldwide asset management network, in connection with its acquisition of Litman Gregory, a San Francisco-based wealth and asset management services firm, the subsequent acquisition of the private client business of Wedgewood Partners Inc., and in connection with the subsequent sale of Litman Gregory Wealth Management to Beacon Pointe Advisors.
- Represented Accelerated Wealth Partners, a specialized investment firm backed by private equity sponsor J.C. Flowers & Co. that is focused on investing in and scaling high performing registered investment advisers, in connection with its organization and its strategic minority investments in Texas-based RIA Advisors and Brooklyn FI.
- Represented dozens of wealth management firms in connection with the sales of their businesses to purchasers that have included Arax Investment Partners, Beacon Pointe Advisors, Concurrent Investment Advisors, Corient Private Wealth, Hightower Advisors, Mariner Investment Group, Mercer Global Advisors, Pathstone Family Office, and Savant Wealth Management.
Related Practice Areas
Representative Work
- Represented AlTi Global, Inc. (NASDAQ:ALTI) in connection with its 2023 formation and public listing on NASDAQ resulting from the merger of Tiedemann Advisors, TIG Advisors, UK-based Avlarium Investments Limited and Cartesian Growth Corporation, and its subsequent acquisitions of East End Advisors and Envoi, LLC.
- Represented Riverbridge Partners, LLC, an investment management firm with over $11 billion in assets under management, in its partnership with Lincoln Peak Capital Management, LLC.
- Represented Singer Burke Capital Management and Singer Burke Zimmer & Kogan, a wealth management firm with $1.2 billion in assets under management, and its affiliated accounting firm, in connection with their sale to Mercer Global Advisors.
- Represented Kudu Investment Management, a provider of permanent capital solutions to the asset and wealth management industries, in connection with its minority equity investments in wealth management firms Bingham Osborn and Scarborough, Douglas Winthrop Advisors, First Long Island Investors, GenTrust, LLC, Sequoia Financial Group, and TIG Advisors (now AlTi Global).
- Represented Integrity in connection with the restructuring and consolidation of its registered investment adviser and broker-dealer affiliates into a unified wealth management business unit operating under newly-branded Integrity Wealth.
- Represented The Investment Center, Inc., a broker-dealer and registered investment adviser in connection with the sale of its business to LPL Financial LLC (NASDAQ:LPLA).
- Represented Journey Strategic Wealth, a wealth management firm with approximately $5 billion in assets under management, in connection with its sale to Hightower Advisors.
- Represented Mission Wealth, a leading wealth management firm with over $10.6 billion in assets under management, in connection with its investment from Great Hill Partners, a private equity firm targeting investments in high-growth companies.
- Represented Emigrant Partners, a subsidiary of New York Private Bank & Trust, in connection with its minority investments in wealth managers Autus Asset Management, Gerber Taylor Capital Advisors, NorthRock Partners, Parallel Advisors, Pure Financial Advisors, and Stratos Wealth Holdings.
- Represented iM Global Partner, a Paris-based worldwide asset management network, in connection with its acquisition of Litman Gregory, a San Francisco-based wealth and asset management services firm, the subsequent acquisition of the private client business of Wedgewood Partners Inc., and in connection with the subsequent sale of Litman Gregory Wealth Management to Beacon Pointe Advisors.
- Represented Accelerated Wealth Partners, a specialized investment firm backed by private equity sponsor J.C. Flowers & Co. that is focused on investing in and scaling high performing registered investment advisers, in connection with its organization and its strategic minority investments in Texas-based RIA Advisors and Brooklyn FI.
- Represented dozens of wealth management firms in connection with the sales of their businesses to purchasers that have included Arax Investment Partners, Beacon Pointe Advisors, Concurrent Investment Advisors, Corient Private Wealth, Hightower Advisors, Mariner Investment Group, Mercer Global Advisors, Pathstone Family Office, and Savant Wealth Management.
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