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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.

Working with the Husch Blackwell team on a wide range of legal issues has consistently exceeded my expectations. I would sum up their services as knowledgeable, thorough, direct and, best of all, easy to manage.

Gear Fisher, Former CEO, Peaksware