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Colleges & Universities | Debt
Financing | Health Care | Hedge Funds
Intellectual
Property & Rights Management | International | Investment
Management
Life
Sciences | Private
Equity | Private
Investment Funds | Real
Estate | Securities & Public
Companies
Sports Law |
Technology
Companies | Venture
Capital
& Emerging Companies
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How
big is our practice group?
Over 150 attorneys spend all or a substantial portion of their time
working on investment management matters. |
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Associates Renee Williams (Boston University School of Law '08) and Matt Gaarder-Wang (Columbia University '05) are two of the more than 150 lawyers who make up the Investment Management group. Renee's clients include Managers Funds and GMO Funds. Matt's clients include Western Asset, RS Funds, PIMCO and Makena Capital Management. For Matt's description of his work on derivatives projects, click
here. |
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What
do we do?
We represent mutual funds, hedge funds, investment advisors and fund directors. We help these
clients comply with the complex federal and state regulations that
govern their operations. The types of projects we are involved in
include drafting registration statements to be filed with the SEC,
advising clients with respect to mergers and acquisitions of funds and their sponsors, negotiating derivatives and other agreements, and setting up hedge funds. |
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Marian Fowler (Georgetown University Law Center '07) assisted with the launching of a new fund. For Marian's description of her work for one mutual fund, click
here. |
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Andrew Wilkins (Boston College Law School '06) assisted as a junior associate with the reorganization and launching of a new fund, the Skyline Special Equities Portfolio. For Andrew's description of his work, click
here. |
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Adam P. Rossetti (University of Southern California – Gould School of Law '06) has worked on a variety of projects for registered investment companies and their investment advisers, as well as on projects for private investment funds. For Adam's description of his work, preparing an application for SEC exemptive relief for Highland Capital Management, click
here. |
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Carolyn Liu-Hartman (Boston College Law School '06) work has involved the acquisition of the J. & W. Seligman Funds by Ameriprise Financial, Inc. For Carolyn's description of her work, click
here. |
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Robert C. Emerson (Fordham University School of Law '08) has worked on revising a mutual fund's annual registration statement to comply with new development in SEC regulation. For Robert's description of his work, click here. |
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| What
have we done lately?
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- Helped our client Natixis Funds comply with new SEC regulations allowing disclosure to fund shareholders of a short summary of key information regarding various aspects of the fund's operations. For a description of an associate's role on this transaction, click here.
- Assisted Money Market Mutual Funds in complying with requirements
to participate in the federal guarantee program to assure their
investors that they would not lose any principal if their money
market shares "broke the buck". For a description of
an associate's role on this transaction, click here.
- Represented Ameriprise Financial Inc., one of the leading financial planning, asset management and insurance companies in the U.S., in connection with the proposed acquisition by its subsidiary, Riversource Investments, of asset management firm J. & W. Seligman & Co. for $440 million. Seligman manages approximately $18 billion in assets in open- and closed-end funds, hedge funds and institutional accounts. For
a description of an associate's role in this transaction, click here.
- Prepared an application for an exemptive application to permit the formation of a new exchange-traded fund.
For a description of an associate's role in this transaction, click here.
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When do we meet?
We meet monthly, focusing on investment advisers and unregistered investment companies. |
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