Investment Management

Overview

For over 85 years, Stradley Ronon’s investment management practice has helped shape the investment management industry by assisting with the creation of innovative investment products and services. From obtaining “industry first” exemptive and no-action relief to assisting in the development of novel products, we have helped our clients become or remain industry leaders. As the investment management industry and our clients have evolved, so have we, adding attorneys with experience in emerging areas such as next-generation exchange-traded products, Commodity Futures Trading Commission (CFTC) regulation, and swaps and other derivatives trading.

Investment Management Mutual Funds

Today, Stradley Ronon’s leading investment management practice advises investment advisers, public and private funds and fund sponsors, fund boards and trustees, service providers, insurance companies, and other industry participants in matters ranging from the routine to the most sophisticated. Whether you are a large financial institution with global operations or a boutique seeking to remain competitive, Stradley Ronon’s team of investment management specialists can help you achieve success.

Investment Advisers 
Our investment management practice counsels advisers on legal, compliance and regulatory matters arising under the Investment Advisers Act of 1940 and other federal and state securities laws; the Commodity Exchange Act (CEA); federal and state privacy laws; ERISA; and other applicable laws and regulations. We also provide advice on corporate, tax, employment, litigation, mergers and acquisitions, and other related matters. Our clients include investment advisers of all sizes – from small, fast-growing startups to some of the largest investment advisers in the world – including those overseeing separately managed accounts, wrap programs, registered investment companies, private funds, commodity pools, and other types of pooled and nonpooled investment vehicles.

Registered Investment Companies
Stradley Ronon maintains one of the largest practices in the United States representing registered investment companies, including open-end funds, closed-end funds, interval funds, exchange-traded funds (ETFs) and UITs. Our clients include more than 1,000 separate funds and assets under management approaching $2 trillion, including several of the top 10 investment company complexes in the country by assets under management.Our lawyers represent retail and institutional investment companies marketing shares through every distribution channel, as well as managers, administrators and underwriters/distributors. We also serve as independent legal counsel to investment company independent directors/ trustees and as special counsel to industry trade groups and other law firms with regard to complex issues arising under the Investment Company Act of 1940.

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