Practice Areas

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.

Client Successes

  • Organized and launched a new mutual fund group for TCW Group, the TCW Alternative Funds.

  • Represented Gabelli affiliate Teton Advisers in its acquisition of Keeley Advisers.

  • Advised Invesco on its unit investment trust (UIT) business, notably on the creation and registration of roughly 250 individual registered UITs totaling approximately $6 billion in assets.

  • Represented Rainier Funds in its acquisition by Manning & Napier and Hennessy Funds Trust, handling the liquidation and de-registration of that fund group once the acquisition closed.

A Leading Investment Management Legal Team

Our leading team offers clients a complete portfolio of capabilities covering all aspects of the investment management business. We serve as counsel to funds and their advisors and boards on the creation and regulation of all public fund structures (mutual funds, closed end funds, ETFs, and BDCs), the sales and reorganizations of investment advisory businesses, fund mergers and reorganizations, civil litigation, and SEC inspections and enforcement proceedings.

A Full-Service Approach

  • We leverage our other key practice areas as needed to guide you on a range of issues starting with those fundamental issues arising under ERISA, the Investment Company Act, the Investment Advisers Act, and related federal and state securities laws. We know the markets and the regulatory climate in which our clients operate.

  • We also cover a full range of alternative asset classes. We form and review a multitude of funds each year – giving us unequalled insight into market terms and developments around the world.

  • We provide clients with full regulatory and compliance support, and represent financial services institutions, investment advisers, and broker dealers, as well as their senior principals and traders, before the SEC, DOJ, CFTC, FINRA, and the Federal Reserve.

Industry Recognition

  • Ranked Band 3 in Chambers USA for Investment Funds (Nationwide)

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