Investment Management

  • Overview
  • Experience
  • People
  • Services

Lindquist & Vennum assists investment advisors, broker-dealers, and other financial industry professionals with matters arising under the Investment Company Act, the Investment Advisers Act, and other federal and state securities laws. The types of clients we represent include:

  • Registered investment advisers
  • Registered and bank-affiliated broker-dealers
  • Investment banks
  • Trust companies
  • Financial services firms
  • Private investment partnerships, including hedge funds
  • Common and collective funds, venture capital funds, and private equity funds

Our attorneys help clients form, finance, acquire, and sell private investment-management businesses, and provide comprehensive counsel to investment advisors, investors, underwriters, and money-management companies and their boards. We provide regulatory counsel to clients in connection with SEC, FINRA, and other regulatory matters and also advise Minnesota state regulators on a variety of regulatory matters, including broker-dealer and investment adviser registration. We also advise trust companies, banks, insurance companies and other financial institutions on the
analysis, structure, and offering of investment products.

Experience
  • Fund formation counsel to a number of Midwest based private investment funds.
  • Compliance and corporate counsel to a variety of registered investment managers with billions of dollars under management including Advanced Capital Group, Disciplined Growth Investors, Leuthold Weeden Hedge Funds, Miles Capital, Punch Investment Management, TripleTree Executive Funds Walrus Capital Partners, Wealth Enhancement Group.
  • Corporate counsel to a pension investment committees, trustees and related plan fiduciaries.

 

Services

Representative Services

  • Organizing and licensing of broker-dealers and investment advisers
  • Structuring and negotiating acquisitions or broker-dealers and investment advisers
  • Designing networking arrangements between broker-dealers and financial institutions
  • Reviewing and structuring wrap programs between broker-dealers and investment advisers
  • Structuring and reviewing supervisory and compliance practices
  • Defending and resolving investigations and enforcement actions brought by regulatory authorities
  • Helping clients prepare for regulatory examinations

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