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Investment Management

DateTitleKnowledge Type
28 February 2014
SEC Provides No-Action Relief for M&A Brokers Legal Alerts
14 January 2014
SEC Releases 2014 Exam Priorities Legal Alerts
23 July 2012
Investment Management Blog Blogs
17 January 2012
New Department of Labor Regulations Offer More Investment Advisers the Opportunity to Provide Advice to Participants in 401(K) Plans and IRAs Legal Alerts
23 September 2011
Private Equity Firms Should Prepare for Exemption Changes
Source: Triad Business Journal
Articles
20 September 2011
Deadline for Meeting the New Investment Adviser Regulatory Requirements Under the Dodd-Frank Act is Quickly Approaching Legal Alerts
17 February 2011
DOL Delays Compliance with the Fee Disclosure Regulations Legal Alerts
09 November 2010
SEC Adopts New Form ADV, Part 2 Legal Alerts
30 September 2010
SEC Proposes New Approach to Mutual Fund Asset-Based Distribution Fees Legal Alerts
05 August 2010
DOL Takes Aim at Hidden Retirement Plan Fees Legal Alerts

Investment Management

Experience Highlights

Investment management advice for United Capital Financial Partners, Inc.
Advised United Capital Financial Partners, Inc., a financial services industry consolidator, on various acquisition and investment management matters. more
Mutual fund family representation
Providing counsel to the registered investment adviser of a multi-billion dollar real estate investment company and its index mutual fund family. more
Private investments for a major institutional investor
Represented a major institutional investor in connection with over 30 investments, with an aggregate value of nearly $3 billion, in various private more
Representing investment manager in structuring investment vehicles
Representing and advising a $1 billion investment manager in structuring privately-offered domestic and offshore investment vehicles. more

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