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Investment Management

In today’s investing climate, having a critical perspective on both anticipating risk and acting on opportunities is more essential than ever. Our investment management lawyers have the capabilities and industry experience necessary to advise clients from throughout the investment management industry as they navigate these challenging times.

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Latest Insights, News, and Events

A Leading Investment Management Legal Team

Our leading team offers clients a complete portfolio of capabilities covering all aspects of the investment management industry. We serve as counsel to mutual funds, exchange-traded funds, unit investment trusts (UITs), domestic and offshore private investment funds (including venture capital, private equity, and hedge funds), investment advisers, and broker-dealers, as well as open-end and closed-end funds, fund advisers, independent directors, fund administrators, and fund underwriters.

We have advised funds and advisory organizations on the sale of their investment advisory businesses, fund mergers and reorganizations, and SEC inspection issues and enforcement proceedings.

A FULL-SERVICE APPROACH

  • Our lawyers regularly develop and conduct initial and subsequent underwritten public offerings and rights offerings for closed-end funds, along with handling conversions of closed-end funds to open-end funds.
  • We have advised funds and advisory organizations on the sale of their investment advisory businesses, fund mergers and reorganizations, and SEC inspection issues and enforcement proceedings.
  • Our team understands the hedge fund industry from both a legal and a business perspective, advising domestic and offshore hedge funds and their managers in all aspects of their businesses.
  • We are a national leader in advising and representing sponsors of UITs, and have significant experience designing and structuring innovative product ideas in this sector.
  • We represent broker-dealers on a wide range of regulatory, transactional, organizational, and other matters involving the SEC, NASD regulation, and state regulatory agencies.

INDUSTRY RECOGNITION

  • Ranked Band 3 in Nationwide Banking & Finance in Chambers USA

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