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Investment Management

Comprising leading financial regulatory and investment management attorneys, our team advises a wide range of clients who either offer or deal with investment opportunities and products. We craft and implement compliance solutions for an investment company, investment adviser and broker-dealer regulatory issues and related issues affecting banks, trust companies, pension funds and a host of investment and financial products.

Our team is actively involved in the establishment and day-to-day operations and activities of both investment funds and investment advisors. For funds, we design sophisticated investment vehicles for private funds to invest in public companies and pooled investment structures for direct or venture capital investments. For advisors, we assist in the establishment and initial registration with regulatory authorities and oversee acquisitions of other advisory businesses.

Key Contacts

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Kevin L. Cooney


West Chester, OH

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James A. Giesel

Practice Group Leader

Louisville, KY

Knowledge matters in regulatory matters. 

Whether counseling investment funds or advisors, our clients benefit from our team’s deep familiarity with the statutes and regulations directly affecting their businesses, including the Securities Act and Securities Exchange Act, the Investment Company Act, and their state or “blue sky” counterparts.

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Private Equity in Health Care: Three Takeaways Going Forward

May 10, 2024 | Publications

*This article was originally published in Reuter’s Attorney Analysis section on May 9, 2024. F...

Bank symbol with with coins stack. Concepts of the banking system, rising interest rates, inflation, deflation, and savings.
Updates to Note in Kentucky’s Overhaul of Its Financial Services Code and Regulation of Financial ...

May 2, 2024 | Publications

Kentucky House Bill 726 (the “Act”), relating to the regulation of financial institutions, was s...

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FTC Final Rule Banning Non-Compete Agreements Appears Far from Final

April 30, 2024 | Publications

On April 23, 2024, the Federal Trade Commission (FTC) issued a Final Rule (the “Rule”) prohibiti...

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Guide to the Federal Income Tax Treatment of SAFEs

April 16, 2024 | Publications

The Simple Agreement for Future Equity (SAFE) was introduced in 2013 on the startup accelerator Y Co...

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A Refresher on Selective Disclosure and Anti-Fraud Rules

March 14, 2024 | Publications

What Is Selective Disclosure? The desire of investors to obtain additional information regarding iss...

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SEC Adopts Final Rules Relating to SPACs

February 1, 2024 | Publications

On January 24, 2024, the Securities and Exchange Commission (SEC) adopted final rules related to spe...

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Corporate Transparency Act: Who Can Exert Substantial Influence on My Company? Part I

December 6, 2023 | Corporate Transparency Act

Part I: Substantial Influence The Corporate Transparency Act (CTA)[i] was enacted to combat the use ...

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Reporting Under the Corporate Transparency Act – Is My Company Exempt?

November 6, 2023 | Corporate Transparency Act

The reporting requirements of the Federal Corporate Transparency Act (CTA)[1] will go into effect be...

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Introducing the QSBS Guidebook for Family Offices and Private Equity Firms

October 12, 2023 | Blogs

The combination of the 21% corporate income tax rate and the possibility of qualifying for Section 1...

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The Corporate Transparency Act: Considerations for Effectively Using the FinCEN Identifier

July 28, 2023 | Blogs

The Corporate Transparency Act (CTA) is scheduled to take effect in a matter of months (on January 1...

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