Overview

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.

Experience
Representative Experience
  • Representing a client in connection with a $40 million synthetic lease transaction for lessee of new distribution center in California.
  • Representing a client in connection with $200 million in financings for LIHTC properties and other multifamily projects located in various states and Puerto Rico, including representation of Fannie Mae DUS lender, letter of credit issuer, construction lender and long-term lender.
  • Representing a client in connection with a $165 million long-term, multistate portfolio financing for owner of seven shopping centers.
  • Representing a client in connection with county loans and county-issued bonds for tax-increment financing for the redeveloper of freestanding retail franchise stores in more than 30 states.
  • Representing a client in connection with financing the construction of a minor league baseball stadium.
  • Representing a client in connection with construction and permanent loans on properties throughout the United States, including for conduit programs.
  • Representing a client in connection with execution of financing exit strategies, including release of properties from portfolio sale/leaseback transaction and defeasance of conduit loans.
  • Regularly serving as Ohio counsel for multistate financing and other transactions, including issuance of legal opinions.
  • Representing a client in connection with a deed in lieu of foreclosure for shopping center/office projects.
  • Representing a client in connection with a workout for lead bank of multilender, multistate construction line of credit for assisted living facilities.