Investment Management Mergers & Acquisitions

Integrated, Cutting-Edge Support

On the cutting edge of developments relating to the complex regulatory issues our clients face, our integrated team of corporate and investment management lawyers has a comprehensive understanding of registered funds, private funds, investment advisers, broker-dealers and insurance companies. We staff our teams with lawyers who not only have an in-depth knowledge of applicable issues, but who also work closely with clients to achieve their goals.

Our Services

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 M&A transactions. Our team works collaboratively — and efficiently — with our tax, employment, executive compensation, Employee Retirement Income Security Act (ERISA), intellectual property and finance lawyers to ensure that all appropriate areas of concern are covered.

Representative Matters

• Represented Mutual Group Inc., a national platform serving independent financial advisers and registered investment advisers, in a transaction involving a strategic investment by Emigrant Partners, a leading minority investor in the wealth and asset management industry.
• Represented Cook Wealth, a Raleigh-based wealth management firm, in a merger with Cerity Partners, a financial and wealth advisory firm serving high-net-worth individuals and their families and nonprofit organizations and foundations throughout the United States.
• Represented TradePMR, a custodial and portfolio management platform for registered investment advisers, in an approximately $300 million acquisition by Robinhood Markets Inc.
• Special committee to Blue Owl Capital Corp. III in a merger into Blue Owl Capital Corp., creating the second largest externally managed, publicly traded business development company (BDC) by total assets, with $18.6 billion of total assets at fair value and investments in 232 portfolio companies on a pro forma combined basis. 
• Represented Chatham Financial, a global leader in financial risk management advisory and technology, in its acquisition of EA Markets.
• Advised Berkshire Asset Management (BAM) in its sale of a minority stake to iM Global Partner, a leading global asset management network.
• Advised Pacific Life in the sale of its third‐party credit asset management firm, Pacific Asset Management LLC — which at closing managed over $20 billion — to Aristotle Capital Management LLC.
• Represented Columbia Pacific Advisors, an alternative asset management firm with approximately $3.5 billion in assets under management, in its sale of a minority stake to CI Financial.
• Advised Great Valley Advisor Group, a technology-driven full-service registered investment adviser, in its acquisition of U.S. Financial Advisors, a registered investment adviser with over $725 million in assets under management.
• Advised Artivest Holdings in its sale of its advisory, mutual fund, commodity pool and broker-dealer businesses to Altegris Holdings.