What Lehman & Eilen does

Lehman & Eilen LLP is a private securities and corporate law firm founded in 1994 and headquartered in Uniondale, New York. The firm provides legal services to broker-dealers, investment advisers, hedge funds, commodity futures brokers, publicly held companies, and closely-held corporations, with practice areas spanning broker-dealer representation, investment management counsel, private and public financings, securities exchange act reporting, regulatory investigations and enforcement defense, dispute resolution, transactional and business advisory work, and special regulatory counsel services to other law firms. The firm is organized as a Limited Liability Partnership under New York law and operates as a professional services practice with no proprietary technology products, billing clients on an hourly basis for specialized securities regulatory counsel. Its go-to-market is sales-led, driven by industry reputation, referrals from existing clients and other law firms (including some of the largest firms in the country), and active thought leadership through speaking engagements at FINRA, SIFMA, AICPA, NSCP, and bar association events. The firm holds the highest AV rating from Martindale Hubbell and serves over 100 broker-dealers, more than 50 registered investment advisers and hedge fund partnerships, and clients across 14 international jurisdictions, with over half of its clients located outside the New York metropolitan area.

Name

Lehman & Eilen

Legal name

Lehman & Eilen LLP

Website

https://lehmaneilen.com

Company type

Private

Founded year

1994

Operating status

Operating

Headcount range

11–50 employees

Short description

Lehman & Eilen LLP is a private securities and corporate law firm founded in 1994, headquartered in Uniondale, NY, that provides specialized regulatory and transactional legal counsel to broker-dealers, investment advisers, hedge funds, and other financial services clients, both directly and as special counsel to other law firms nationwide.

Ownership category

akta.pro rank

Product category

Securities and Corporate Legal Services

SIC

Services-Legal Services (8111)

akta.pro primary industry

Mergers & Acquisitions (M&A) & Securities Law (BPAHAAAI)

Keywords

• Securities regulatory law
• Broker-dealer representation
• Investment adviser counsel
• Corporate legal services
• Securities litigation

Headquarters

HQ city

Uniondale

HQ country

United States

HQ region

North America

Offices1 record

Markets served

GTM type

B2B

Offering type

Services

Cost components

Personnel, Operations, Marketing or Sales, Others

Revenue model

1. Legal Services: Professional legal services billed at hourly rates for securities regulatory counsel, corporate transactions, compliance advisory, and litigation services to broker-dealers, investment advisers, hedge funds, and other financial services entities.

Go-to-market motion1 record

Distribution channels1 record

Marketing channels3 records

Core offering

Lehman & Eilen LLP is a securities and corporate law firm that provides legal representation to broker-dealers, investment advisers, hedge funds, and other financial services professionals. The firm's core offerings cover regulatory compliance, entity formation and registration (SEC, FINRA, state), ongoing counseling, transactional work including private and public financings, regulatory investigations and enforcement defense, and dispute resolution in securities and commercial matters. It also serves as special securities regulatory counsel to other law firms nationwide on complex transactional matters.

Product overview

Lehman & Eilen LLP is a securities and corporate law firm that provides a unified portfolio of legal services to financial services professionals. The firm's offerings center on three integrated practice areas: broker-dealer representation, investment management counsel, and securities offerings (both private and public). These core services are supported by specialized practices in regulatory compliance, enforcement defense, dispute resolution, and transactional business advisory work. The firm serves as special regulatory counsel to other law firms nationwide, extending its specialized securities expertise through referral relationships. Founded in 1994 and headquartered in Uniondale, NY, the firm holds an AV rating from Martindale Hubbell and represents clients throughout the United States and abroad.

Differentiator

Problem solved

Functional benefit

Products and services

• Broker-Dealer Legal Services Comprehensive legal representation for broker-dealers on regulatory and compliance matters involving federal securities laws, state Blue Sky laws, and FINRA/SRO rules, including entity formation, operations, strategic planning, and enforcement proceedings.
• Investment Management Legal Services Legal services for SEC and state-registered investment advisers, dually-registered broker-dealer/investment advisers, and hedge fund managers, covering formation, regulatory compliance, and operational advice.
• Transactional and Business Advisory Services Legal counsel for business formation, structure, capital raising, mergers and acquisitions, corporate reorganizations, and ongoing business counseling from startup through transition.
• Counseling and Compliance Services Regulatory compliance counsel for broker-dealers, investment advisers, and financial services professionals on securities laws, FINRA rules, and other applicable regulations.
• Private and Public Financing Legal Services Full range of legal services for private and public financing options, including IPOs, secondary offerings, PIPEs, private placements, venture capital, and blue sky qualification.
• Securities Exchange Act Reporting Services Counsel and advice on continuing compliance obligations for public companies under federal and state securities laws, including quarterly and annual reports on Forms 8-K, 10-Q, and 10-K.
• Regulatory Investigations and Enforcement Defense Representation before the SEC, FINRA, NYSE, other SROs, and state securities agencies in examinations, inquiries, investigations, and enforcement actions.
• Dispute Resolution Services Litigation and arbitration services concentrated in the securities, business, and financial services sectors, including securities fraud, employee disputes, and corporate dissolutions.
• Special Regulatory Counsel Services Special securities regulatory counsel provided to other law firms nationwide in transactional matters requiring specialized securities industry expertise.

Named customers6 records

Segments4 records

Ideal customer profiles4 records

Technology focussed No

API detail

Has API

No

API docs

API detail

Core technology

AI maturity

App detail

Partnerships

One partnership is on record.

• Other Law Firms (Referral Network)coreStrategic or Co-development PartnerLehman & Eilen serves as special securities regulatory counsel to law firms from around the U.S., including some of the largest firms in the country. These firms seek the firm's in-depth knowledge of the highly regulated securities industry, SEC regulations, FINRA rules, and Blue Sky requirements. The firm's modest rates and cost-effective structure make it attractive for other law firms requiring specialized securities expertise without interfering with the referring firm's relationship with the client.

Scale indicators5 records

Recent moves4 records

Expansion highlights4 records

Direct peers

• Dechert LLP: Global law firm with a major investment management and securities enforcement practice, advising investment advisers, hedge funds, and broker-dealers on regulatory matters.
• Willkie Farr & Gallagher LLP: Mid-to-large New York-based law firm with a prominent investment management and broker-dealer regulatory practice serving RIAs, hedge funds, and broker-dealers — directly comparable to Lehman & Eilen's core client base and service mix.
• Seward & Kissel LLP: New York-based law firm specializing in investment management, hedge funds, and broker-dealer regulation. Highly comparable niche focus on investment advisers and private funds with strong FINRA/SEC regulatory expertise.
• Schulte Roth & Zabel LLP: New York law firm with a leading hedge fund and investment management practice, providing regulatory counsel to advisers and funds — directly comparable client base and practice mix to Lehman & Eilen.
• Stradley Ronon Stevens & Young LLP: Philadelphia-based law firm with a focused investment management and broker-dealer practice serving RIAs, hedge funds, and broker-dealers — closely comparable niche specialization and client mix.

Broad incumbents

• K&L Gates LLP: Global law firm with a substantial broker-dealer and investment management practice providing regulatory counsel to advisers, broker-dealers, and funds — overlapping capability from a much larger platform.
• Faegre Drinker Biddle & Reath LLP: National law firm with a meaningful investment management and securities regulatory practice serving advisers and broker-dealers — comparable specialization at a larger, multi-office scale.
• Akin Gump Strauss Hauer & Feld LLP: Global law firm with a sizable investment management practice representing hedge funds, private funds, and advisers on formation, regulatory, and compliance matters — broader portfolio but overlapping client base.
• Sidley Austin LLP: Global AmLaw firm with a substantial broker-dealer, investment management, and securities enforcement practice. Overlaps with Lehman & Eilen on regulatory matters but as part of a much broader full-service platform.
• Davis Polk & Wardwell LLP: Elite New York-based firm with a top-tier broker-dealer and securities regulatory practice advising broker-dealers, investment banks, and public companies on SEC/FINRA matters.

Market position

Strengths5 records

Weaknesses5 records

Competitive moat5 records

Key risks6 records

Key highlights7 records

Customer concentration

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Revenue estimate

Valuation estimate

Number of profiles

Profiles9 records

Funding overview

Funding rounds

Investors

Funding detail is available on the Subscription and Enterprise plan.Contact sales →

M&A

Investments

M&A and investment is available on the Subscription and Enterprise plan.Contact sales →

Frequently asked questions about Lehman & Eilen