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Investment Management

Overview

As investment management clients grow and operate their businesses, they look to us to solve complex regulatory and structural challenges — with an eye to mitigating operational and regulatory risk. We advise national and multinational registered and private funds and their sponsors, investment advisers, broker-dealers, and other institutional market participants on business formation and growth. We draw on deep in-house and industry experience to understand your business — and business objectives — and develop bespoke solutions that are practical and forward-thinking. We anticipate and facilitate industry shifts and help you stay ahead of regulatory issues on existing and emerging issues. Our risk management assessments and compliance evaluations help assess and mitigate compliance and regulatory risks. Clients also count on us to interpret and advise on developments in law and advocate on their behalf on policy development.

Insights & Events

Insights
Published Articles August 2026

Conflicts of Interest (Part 5): Investment in Private Funds – ERISA Fiduciary Considerations

Journal of Pension Benefits
1 min read
Media Mentions August 2026

Brad Campbell Speaks With 401(k) Specialist About Anderson v. Intel and ERISA Fiduciary Pleading Standards

1 min read
Updates August 2026

England & Wales Litigation Brief — 2026 Mid-Year Update

Key developments in litigation and arbitration
11 min read
Updates August 2026

Third Circuit Holds That 401(k) Fiduciaries' Good Process Defeats Claims of Imprudence

In re: Quest Diagnostics ERISA Litigation, No. 24-2866 (3d Cir. Jun. 22, 2026)
7 min read
Updates August 2026

SEC Staff Issues No-Action Relief for Exchange-Traded Funds during Passive Concentration Exceedances

Sponsors may utilize in-kind creation baskets even during periods of passive exceedance of an ETF’s concentration policy.
5 min read
Media Mentions July 2026

Steven Francis Shares Insights on UK Anti-Fraud Reforms with Law360

1 min read
Media Mentions July 2026

Richard Tall Discusses Investor Interest in AI Defense Systems in MergeMarket

1 min read
Updates July 2026

Transition Guidelines for New Qualified Opportunity Zones

An IRS notice provides clarity for investment and compliance after the expiration of existing qualified opportunity zone designations.
6 min read
Updates June 2026

Impact of SpaceX's Initial Public Offering on Regulated Investment Companies Holding SpaceX Stock

Pay careful attention to the two quarterly asset diversification tests.
2 min read
Updates June 2026

Supreme Court Closes the Door on Private Suits under Section 47(b) of the Investment Company Act of 1940

FS Credit Opportunities Corp. et al. v. Saba Capital Master Fund, Ltd. et al., No. 24-345, 608 U.S. ___ (2026)
5 min read

Meet The Team

Meet The Full Investment Management Team