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Gateway to the U.S.


Finding the right entry point to the U.S. for your Firm.

The Brief:

An international asset manager based in London that has been in business for over 80 years was looking to do business in the U.S.  Their existing client base included both individual and institutional clients, and they managed numerous funds for investors primarily in Asia and Europe.  The manager saw an opportunity with certain U.S. institutional investors and needed a solution to capitalize on that opportunity.

The Approach:

Initially, Foreside provided chaperoning services to the client, enabling the client’s non-U.S. based salespeople to enter the U.S. and meet with institutional investors.  The client then hired a small sales team in the U.S.  Since chaperoning services are only available to salespeople outside the U.S., the sales team could not rely on the chaperoning solution.  Therefore, in addition to the chaperoning for non-U.S. salespersons, Foreside was able to offer registered representative services, associating the client’s U.S. sales team with a Foreside broker-dealer thereby enabling the sales team to market their products in the U.S.

The Result:

The manager now has an active U.S. sales team of over 6 salespersons and is successfully raising assets in the U.S.  Based on that success, the manager has begun looking at other opportunities in the U.S., including segregated mandates and perhaps a registered ’40 Act Fund.  Foreside can assist with both opportunities, including registration with the SEC, compliance consulting support and our suite of services for ’40 Act Funds.



All situations are evaluated independently, and results may differ. It is important to note these case studies are not testimonials, but examples of strategies that have been deployed to assist our clients.  These examples may not be representative of your experience with Foreside and do not guarantee that you will experience the same or similar results.

Foreside and its affiliates do not provide tax, legal or accounting advice and case studies are provided for informational use only.