Investment Management

Our investment management lawyers have a successful track record advising mutual funds, independent directors of mutual funds, investment advisers and broker-dealers, banks, insurance companies and insurance company separate accounts in navigating the challenges and shifting regulatory requirements they face.

As counsel to several of the nation’s largest mutual fund groups and institutional money managers, we help our clients to comply with federal and state securities laws, develop tax planning strategies, acquire and divest investment advisers and create innovative mutual fund capital structures and operating procedures.

We regularly assist clients in the establishment and registration of new open-end, close-end, and exchange-traded funds, and have also represented one of the largest private equity managers in the offering, distribution, and management of private equity funds. Furthermore, we are the trusted partner of many investment advisers in relation to their strategic acquisitions and sales of investment advisory businesses, conducting thorough internal compliance reviews in the process.

  • Provide fund clients with assistance in establishing and registering new open-end, close-end, and exchange-traded funds
  • Advise funds and fund boards on regulatory and legal compliance issues
  • Counsel fund clients on federal and state tax issues
  • Represent investment advisers and their principals on acquisitions and sales of investment advisory businesses
  • Represent one of the largest private equity managers on the offering, distribution and management of private equity funds
  • Conduct internal compliance reviews of investment advisers

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