Investment Management

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Our lawyers represent the financial and regulatory interests of mutual funds, independent directors of mutual funds, investment advisers and broker-dealers, banks, insurance companies and insurance company separate accounts. As counsel to several of the nation's largest mutual fund groups and institutional money managers, we help our clients comply with federal and state securities law, develop tax planning strategies, acquire and divest investment advisers and create innovative mutual fund capital structures and operating procedures. We bring the same skills to international clients seeking to acquire investment companies or offer securities in the United States.

Practice Profile (PDF)

Representative Client Work

• Provide fund clients with assistance in establishing and registering new funds in addition to handling fund mergers including consolidations within funds as well as mergers of unaffiliated funds
• Counsel fund clients on federal and state tax issues
• Represent investment advisers and their principals on acquisitons 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 both in the U.S. and abroad