Investment Management

Whether our client is a small, startup boutique or an internationally established fund or investment adviser, our group can navigate the increasingly complex regulatory landscape and advise on a full range of legal and business matters.

Our attorneys represent investment companies, investment advisers, fund independent directors, trust fund managers, mutual fund service providers, broker-dealers, business development companies, hedge funds, and private equity funds. We advise on all matters of compliance and assist with issues related to ERISA, insurance, and taxation. 


  • Represented the Independent Trustees of a large mutual fund complex in connection with its acquisition of another fund complex of 36 funds and approximately $11 billion in assets under management.
  • Represents the Independent Trustees of large mutual fund complex in connection with its proposed acquisition of another mutual fund family consisting of over $50 billion in assets under management and over 90 funds.
  • Represents a leading 529 plan sponsor in connection with the management of 529 college savings plans in the States of Illinois, Alabama and Nebraska.