Our Investment Management Practice provides structural, transactional and regulatory advice to participants in the investment management industry. Our clients include mutual funds, investment advisers, broker-dealers, domestic and offshore hedge funds, private equity funds, fund service providers and independent directors and trustees. We help clients enter the industry, develop new products and services, expand their business through strategic planning and acquisitions, keep abreast of regulatory and industry developments, and interact with regulators.

We counsel our clients on issues arising under the Investment Company Act of 1940, the Investment Advisers Act of 1940, the broker-dealer provisions of the Securities Exchange Act of 1934, the Securities Act of 1933, FINRA (Financial Industry Regulatory Authority) regulations and Commodity Futures Trading Commission rules.

We represent investment companies, hedge funds, private equity funds, investment advisory firms and broker-dealers located in cities across the nation and around the world. These clients range in size from start-up ventures to large financial institutions and funds.

For more detail, please refer to our Investment Management Brochure.

Market Matters: Share Class Rules
March 23, 2017

In this episode Partner JoAnn M. Strasser discusses trends and opportunities in light of recent guidance and a no-action letter issued by the SEC, and offers some practical advice on distribution strategies for our fund clients.

Market Matters: Annual Update of Form ADV
March 10, 2017

This episode features Cassandra Borchers, a partner in Thompson Hine’s Investment Management practice group, discussing the annual update of Form ADV for registered investment advisers and exempt reporting advisers.

Market Matters: Regulatory Outlook Under the Trump Administration
February 17, 2017

Our first episode features Michael V. Wible, a partner in Thompson Hine’s Investment Management practice group, discussing the regulatory outlook under the Trump administration.