Investment Management

Representative Experience

• Represented asset management and financial planning firms on the sales of subsidiary firms
• Structured and prepared offering documents for numerous private funds and funds of funds with varying strategies, including numerous real estate strategies
• Worked with the FINRA and the SEC to structure and register special purpose broker-dealers
• Represented a large investment adviser to open-end funds in its sale and restructuring
• Represented several closed-end funds in follow-on offerings
• Counseled an open-end fund in its sale to another registered fund complex
• Represented an investment adviser to a fund complex in numerous multistage restructurings
• Assisted numerous advisory and brokerage firms with structuring and registration
• Assisted advisers and broker-dealers with SEC, state, and FINRA examinations and enforcement actions
• Represented a group of in-vitro fertilization (IVF) physicians in connection with an extensive reorganization and $15 million sale of partial ownership interests to a private equity fund
• Represented a bank-holding company in $30 million private placement of stock
• Defended Big Four accounting firm investigated by the DOJ and the SEC in relation to audits of a failed financial institution
• Obtained favorable results for a global supply manager of multinational computer technology company who provided insider information to hedge fund traders through an expert networking firm
• Obtained favorable results for a CFO of national bank targeted by SEC for inadequate loan loss reserve disclosures
• Represented mutual fund companies and independent directors in Section 36(b)-related litigation
• Structured and negotiated financing terms and provided ongoing advice to business development companies
• Structured and prepared tax analysis for investments of private equity funds, venture capital funds, real estate funds, and offshore funds