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Investment Management

Mergers & Acquisitions

  • Overview
  • Representative Experience

Our Investment Management team works alongside our regionally and nationally recognized M&A practice group in assisting investment company, investment adviser, broker-dealer and other financial services clients with purchases, sales, reorganizations and other transactions. Together, our attorneys have over 25 years of experience collaborating and have handled a diverse array of transactions involving investment management and financial services firms across the U.S.

As a full-service corporate law firm, we have the expertise to advise on all aspects of your transaction.

Our attorneys collaborate to address regulatory, tax, employee benefits, intellectual property, technology and other due diligence matters that may arise over the course of your transaction.

The team has advised traditional retail and institutional asset managers, diversified firms offering a wide range of services through a variety of platforms, including wrap and model portfolio programs, managers of specialty products, such as ETFs and alternative asset classes (i.e., hedge funds, private equity funds and venture capital funds), investment banking firms and broker-dealers.


  • Investment companies (both open- and closed-end funds) and their investment advisers in connection with investment company reorganizations involving both affiliated and non-affiliated funds.
  • Investment advisers in connection with acquisitions of portfolio management teams, purchases and sales of registered and non-registered investment products (e.g., registered investment companies, private funds and separately managed accounts) and purchases and sales of entire asset management businesses, including transactions involving foreign subsidiaries.
  • Listed closed-end funds in connection with issuer tender offers, proxy fights, dissident directors and shareholder activism.
  • Investment company independent board members in connection with all aspects of transactions affecting the funds they oversee.
  • Private equity and venture capital funds in connection with mezzanine and equity investments in portfolio companies, as well as reorganizations and sales of portfolio companies.
  • Founders of investment management firms with respect to succession planning.


Representative Experience

  • Representation of diversified investment management firm in $175 million sale of stock to global financial services company.
  • Representation of wealth management firm and its affiliated trust company in $100 million multi-stage sale of its assets and business to national financial services company.
  • Representation of investment advisory firm in sale of equity in transaction valued at $40 million.
  • Representation of venture capital firm in $30 million acquisition of portfolio company.
  • Representation of wealth management firm and its affiliated broker-dealer in $29.5 million sale of assets of wealth management business and concurrent sale of equity among owners of brokerage business.
  • Representation of investment advisory firm in $29.4 million sale of minority equity interest to private equity firm.

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