Investment Management

The Investment Management practice of Butzel Long provides representation to investment companies, other pooled investment vehicles, investment advisers, broker-dealers and related service providers. Our services include registration statements, private offering memoranda, fund and entity organization, investment documentation, regulatory and compliance matters, government issues and preparation and regulatory negotiation of no-action letters and exemptive applications. Our investment management lawyers have extensive experience with the Federal securities laws, including the Investment Company Act of 1940, the Investment Advisers Act of 1940, the Securities Act of 1933 and the Securities Exchange Act of 1934. In addition, we advise and assist clients with state securities and fiduciary law issues and matters arising under the rules of FINRA.

  • Assisted with purchase and sale of investment advisory businesses
  • Represented individuals in investment in preferred stock of an IT training company
  • Organized private equity and venture capital funds
  • Organized hedge funds including hedge fund of funds
  • Assisted with preparation of investment management agreements, solicitor agreements and other agreements relating to investment advisory business
  • Registration of federal only and state investment advisers including assistance with FINRA and state filings, preparation of compliance manuals, privacy policies and compliance procedures
  • Provided regulatory advice for fee structures, advertising activities and other operations matters