Stephen Wilkes


Partner

Wagner Law Group


Mr. Wilkes advises national client base of mutual funds, CIFs, private funds, registered investment advisers, insurance companies, broker dealers, wealth management firms, banks, trust companies, third party platform providers, plan sponsors on ERISA, tax, and related securities law issues.  He also handles the following: ERISA fiduciary and prohibited transaction counseling. Advise third party administration and retirement plan services firms. DOL, IRS, SEC audits. Provides advice with respect to retirement plan services agreements, investment management agreements, DOL regulations, SEC regulations, federal legislative activity, qualified employee pension plans, ERISA litigation, Collective Investment Funds, Off-shore investment advisers, Sales and Marketing Distribution Agreements, Wrap-Fee Programs. Structures agreements among broker dealer firms and platform provider firms for product distribution. Prepares non-discretionary or discretionary advisory agreements, Form ADV Part 2, regulatory disclosures and filings, marketing materials, prospectus, revenue sharing, best investment management practices, CIF advisory and sub-advisory agreements, selling and administrative services agreements, distribution agreements, vendor agreements, compliance manuals and WSP’s. Interacts with regulatory agencies and Congressional staff on legislative and regulatory issues.


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