Business Law

Investment Management

Quarles & Brady’s Investment Management Team counsels a broad spectrum of clients in four key areas of investment management:

  1. investment adviser and broker-dealer formation;
  2. mutual fund and hedge fund formation;
  3. ongoing regulatory compliance, including compliance system design and evaluation; and
  4. acquisitions and firm sale strategies.

Investment management businesses and the compliance systems needed to support them grow more sophisticated and complex every day with the enactment of new laws and further regulations expected. We have built our team with these trends in mind. We have attorneys who focus on providing services to different types of clients, from mutual funds, hedge funds, and private equity funds to state and federally registered investment advisers, broker-dealers, and financial intermediaries. We tailor our services to each client’s needs, which differ depending primarily on the client’s business objectives, the type and amount of assets under management, the types of brokerage services provided, and the structure and business goals of the client’s organization.

Our team members may focus on different aspects of investment management, but whether you are a global financial institution or an experienced professional seeking to start your own business, our goal remains the same: to make the compliance burden imposed by today’s regulatory environment as light as possible, so you can focus with confidence on what you do best.

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