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Investment Funds & Transactions

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 to address investment and broker-dealer regulations and related issues affecting banks, trust companies, pension funds, and a host of other 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

Kevin L. Cooney Profile Image
Kevin L. Cooney


West Chester, OH

James A. Giesel Profile Image
James A. Giesel

Practice Group Leader

Louisville, KY

Joshua M. O’Bryan Profile Image
Joshua M. O’Bryan


Louisville, KY

How We Help Clients

Fund Formation & Investment Partnerships

We counsel fund sponsors and investors across a broad spectrum of asset classes, including private equity, real estate, venture capital, hedge, credit, and tax liens. We help our clients anticipate and strategically solve issues unique to private investment funds as well as the limited partners and other investors who invest in those funds.

With respect to fund formation, we appreciate the need to tailor advice to the industry and asset class of the fund. We excel at helping clients identify and implement the most appropriate structure for organizing their business and fund offerings, including selecting the optimal jurisdiction and legal structure

Investments Transactions & Portfolio Engagements

Our transactional team regularly represents private fund clients in the structuring, due diligence, negotiation, and consummation of investments, along with the post-closing ownership, management, and ultimate disposition of those investments — whether in a successful liquidity event or through a more distressed realization or winding down. We also regularly represent not only the funds that provide private capital, but also the portfolio companies, management teams, and boards of director who use that capital to acquire, create, and grow businesses.

In addition, we have significant experience as outside counsel to the portfolio companies of our private fund clients, as well as the portfolio companies of other non-client sponsors who trust us with their portfolio company engagements. Our full-service approach and industry-specific experience make us a true asset to investors, as we’re able to provide portfolio companies with day-to-day counsel on any issues that arise.

Regulatory & Industry-Focused Solutions

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. Furthermore, our experience across key sectors in which private funds actively invest gives our clients an uncommon advantage: We’re able to help them evaluate industry-specific risks and make informed investment decisions.

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