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Capabilities / Investment Management

Investment Management

Assisting in investment management every step of the way.

Husch Blackwell provides effective, efficient investment management legal counsel to open-end and closed-end investment firms and their service providers, independent directors, investment advisors, hedge funds, private equity and real estate funds, broker-dealers, banks, and third-party administrators. Our investment management attorneys and lawyers provide solutions to challenges through the life cycle of a fund, from formation and fundraising to ongoing day-to-day operations.

No matter the size of a firm, enforcement actions can have a significant and long-lasting impact on reputation and the bottom line. Our Investment Management law team also works closely with our government compliance team to respond to internal and external whistleblowers, litigious and/or disgruntled investors, government investigations, and allegations of fraud.

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
News Releases | April 03, 2023
David Cline Joins Husch Blackwell's Denver Office
News Releases | March 16, 2022
Husch Blackwell Lands Private Fund Lawyer in Indianapolis

Erik W. Hansen has joined the firm as a partner in its virtual Link office and its Financial Services and Capital Markets team.

Media Mentions | November 28, 2018
REJournals: The legal loopholes of Opportunity Zones
Media Mentions | October 22, 2018
St. Louis Business Journal: Looking to lower capital gains? Good news, St. Louis lawyers say (log-in required)

Jonathan Giokas and Joe Bredehoft of the firm's Opportunity Zones team weigh in.on new Treasury Department and IRS rules governing how capital gains can be deployed to defer and reduce taxes.

Media Mentions | October 10, 2018
The Missouri Bar: MoveMakers & NewsMakers 10/12/18

The Missouri Bar covers the firm's Opportunity Zones practice.

News Releases | October 04, 2018
New Husch Blackwell Practice Group Focuses on Opportunity Zones

New practice group brings a multidisciplinary approach to assisting clients who wish to invest in the federal Opportunity Zones program.