Investment Management & Private Funds

Winstead counsels clients in all aspects of investment management and private funds—fund formation, advisor/manager mergers and acquisitions, portfolio transactions, and regulatory and compliance matters. We regularly represent private real estate funds, real estate investment trusts (REITs), private equity funds, hedge funds, venture capital funds, commodity pools, oil and gas funds, traditional wealth managers, universities, family offices, and other privately held entities. Winstead also frequently represents large investors and the managers of these funds in structuring their investments.

Winstead takes a multidisciplinary approach to client service. Our team pulls members from our corporate, tax, real estate, ERISA, and litigation practices, as needed, to provide clients with a well-rounded legal solution to their business objectives.  Understanding the client's business operations and objectives at the start of every transaction is a key success factor.

Our attorneys help our fund clients become more streamlined and efficient.  We assist with structuring and tax issues, ERISA concerns, regulatory scrutiny, platform acquisitions, purchase and disposition of add-ons, and other fund assets.  Our regional rates allow for flexibility as we address our clients’ needs.

Investment Management & Private Funds Snapshot of Strengths

Our services span the full range of client needs, including:

  • Fund Formation: Structuring and tax planning. Raising capital.  Seed Investments. Debt and equity financings for funds of all types.
  • Mergers and Acquisitions: Acquisitions and dispositions of investment management and advisor firms, portfolio companies, including bankruptcies and other distressed situations, liquidity transactions, equity and debt financings, and sales and changes of control transactions.
  • Operations: Day-to-day management, governance, SEC compliance, including registration and marketing restrictions, tax, ERISA, IP, HR, and commercial contracts.

Additional experience includes:

  • Regulatory investigations and proceedings
  • Administrative hearings
  • Enforcement actions
  • Investor due diligence and scrutiny
  • Investor litigation
  • Compliance with the U.S. Advisers Act of 1940 and the U.S. Investment Company Act of 1940
  • Compliance with The Commodity Exchange Act
  • Registered funds vs. Exempt funds compliance
  • Texas State Securities Board regulations

Contacts

Andrew Rosell
Shareholder
Co-Chair, Investment Management & Private Funds Industry Group
817.420.8261
arosell@winstead.com

Burke McDavid
Shareholder
Co-Chair, Investment Management & Private Funds Industry Group
214.745.5490
bmcdavid@winstead.com

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