Investment Management Mergers & Acquisitions

Overview

OUR Practice
Stradley Ronon has extensive experience representing investment advisory firms, securities brokerage firms and other financial services institutions in connection with mergers and acquisitions, dispositions, fund adoptions, joint ventures, and investments. Our strength stems from the firm’s investment management practice – recognized as one of the premier investment management practices in the United States – which represents some of the largest investment companies in the country, investment advisers, broker-dealers, hedge fund sponsors, private equity firms, managers, administrators, underwriters/ distributors and other firms involved in the financial services industry.

Investment Management M&A

YOUR Issues
You need attorneys who speak the language of the financial services industry, who have specific experience in investment management transactions, and who are intimately familiar with the complex and ever-changing legal system governing the financial services industry. You need attorneys who are practical, results-oriented, efficient and reasonable. But you also have needs that are unique to your situation, and require attorneys who will listen to your specific areas of concern and develop a plan of representation accordingly. We recognize and understand these needs and have carefully developed a team of attorneys who will meet them.

OUR Experience
Our integrated team of corporate and investment management attorneys has a comprehensive understanding of registered funds, private funds, investment advisers, broker-dealers, insurance companies and other financial services institutions. We are on the cutting edge of developments relating to the complex regulatory issues our clients face. And we staff our team with attorneys who not only have an in-depth knowledge of the issues, but also work closely with clients to achieve their goals.

More specifically, we have served as corporate and regulatory counsel on acquisitions and dispositions of investment advisers, represented boards of directors of registered funds, provided counsel on mutual fund adoptions and mergers of registered funds, and provided advice to investment advisers engaging in their first M&A transaction, as well as to those who have done many. Our team works collaboratively – and efficiently – with lawyers from our partnering practices, including tax, employment, executive compensation, ERISA, intellectual property and finance, to ensure that all appropriate areas of concern are covered.

OUR Services
Stradley Ronon’s investment management M&A lawyers handle a broad range of transactions, including: 

  • adoptions and mergers of registered funds
  • adviser acquisitions 
  • adviser dispositions 
  • joint ventures 
  • investment team lift outs
  • investments
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Results

Results

Representative Matters

Our investment management M&A lawyers take great pride in having helped clients execute investment management M&A transactions, including the representation of:

  • A registered investment adviser subsidiary of a global investment management group in its acquisition of part of the asset management business of a registered investment adviser affiliate of one of the world’s leading banks, and the reorganization of several funds of the bank affiliate into funds on the buyer’s platform.
  • A registered investment adviser subsidiary of a financial services holding company in its acquisition of an investment management firm managing more than $9.9 billion in fixed income assets for a diverse group of institutional clients.
  • A bank holding company in several acquisitions of wealth management businesses.
  • One of the largest financial services companies in the United States in the sale of its investment management business to a global investment management group, and the reorganization of several funds of the financial services company into funds on the buyer’s platform.
  • A registered investment adviser in the sale of its business to a global investment manager.
  • A global asset management firm in connection with the sale of its interests in a wealth management firm to an affiliate of a financial services holding company.
  • A leading global investment manager in connection with the sale of its joint venture interests in two investment management-related companies to a subsidiary of a large European financial services company.
  • An affiliate of one of the largest financial services companies in the United States in the sale of a portion of its investment management business to an established asset manager.
  • A large mutual fund complex in its agreement with a registered investment adviser to acquire a family of equity and bond mutual funds.
  • A large mutual fund complex in its acquisition of the mutual fund business of a registered investment adviser, and the reorganization of several funds of the registered investment adviser into funds on the buyer’s platform.
  • The chief executive (primary founding member) in the formation of a joint venture with an affiliate of a leading investment firm for the purpose of engaging in the investment advisory, investment management and wealth management businesses. A private equity firm focused exclusively on the asset management industry in its acquisition of a minority stake in a fund of hedge funds manager.
  • A private equity firm focused exclusively on the asset management industry in its acquisition of a minority stake in a fund of hedge funds manager.
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