Investment Management

For many years, the firm has served the investment management industry, offering sophisticated legal advice to some of the world’s largest and most experienced investment managers. We have served as counsel to:


  • Registered investment companies, including mutual funds, exchange traded funds (ETFs), and closed-end funds
  • Independent trustees and directors of registered funds
  • Business development companies (BDCs)
  • Registered commodities funds


  • Sponsors of private funds, such as hedge funds, private equity funds, real estate funds, and commodity pools
  • Sponsors of offshore funds, including funds subject to the EU’s UCITs and AIFM directives
  • Bank-related common and collective investment trusts


  • Investment advisers
  • Commodity trading advisors
  • Family offices and institutional investors

We have provided legal advice with respect to all principal facets of our clients’ businesses, including advice relating to securities and commodities law compliance, tax, litigation, M&A, and ERISA.  We are well versed in portfolio transactions for debt, equity, and alternative funds, such as commodity pools, liquid alternative funds, funds of funds, funds of hedge funds, and crypto currency funds.  We have extensive experience negotiating on behalf of clients prime broker agreements, master repurchase agreements, securities lending agreements, and ISDA contracts.  We have assisted investment managers from Europe, Asia, and Australia launch funds in the United States.  We also have helped U.S. clients structure U.S. and non-U.S. investment products to offer to investors in Europe, Asia, Australia, Canada, South America, and the Middle East.

We regularly participate in the activities of the following organizations active in the investment funds industry:

  • Investment Company Institute (ICI)
  • Independent Directors Council
  • Mutual Fund Directors Forum
  • American Law Institute (ALI)
  • International Swaps and Derivatives Association (ISDA)
  • Irish Funds Association
  • Association of the Luxembourg Fund Industry (ALFI)

Our partners are known throughout the investment management industry for their experience and broad knowledge base. More importantly, they are known for providing practical advice. We are not a highly leveraged firm, and as a result, our partners are actively engaged in the daily affairs of our clients. The result: our investment management practice has been consistently ranked among the best by Chambers USA, The Legal 500 U.S., and U.S. News – Best Lawyers® “Best Law Firms.”

Our partner Harvey Bines is the author (with Professor Steve Thel, Fordham University) of Investment Management Law and Regulation (Wolters Kluwer, 3d ed.).

  • 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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