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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
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
Updates June 2026

Supreme Court Decides FS Credit Opportunities Corp. v. Saba Capital Master Fund, Ltd.

3 min read
Updates June 2026

SEC Increases Investment Advisers' "Qualified Client" Dollar Thresholds

Assets-under-Management and Net Worth Tests Increase on June 29, 2026
2 min read
Updates June 2026

New Nasdaq 23/5 Rule and Its Potential Impact on Confidentially Marketed Public Offerings

Rethinking CMPO strategy in a market that rarely closes
11 min read
Updates May 2026

SEC Proposes Amendments Governing Registered Offerings Related to Form N-2 and Preemption of State Securities Law Registration

Market Participants Should Consider Submitting Comments to Shape the Final Rules
16 min read
Updates May 2026

SEC Proposes Dramatic Changes to Public Company Reporting Framework

Part of a Larger Effort to "Make IPOs Great Again"
4 min read

Meet The Team

Meet The Full Investment Management Team