Investment Management

Highly competitive product landscapes, increased price compression, regulatory pressures, performance challenges and the rapid rise of technology continue to present new challenges for the industry. Our investment management lawyers work closely with clients to attack today’s challenges, helping them anticipate risk and capitalize on new opportunities.

Client Successes

  • Advised Boulder Growth & Income Fund Inc. in connection with a $225 million offering of senior unsecured notes to a consortium of institutional investors.

  • Advised Wolfe Research, LLC in negotiating a Strategic Alliance Agreement with Nomura Group

  • Advising the platform of Brookfield Investment Management open-end and closed-end funds on all their corporate and regulatory matters

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, UITs, 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)