{"id":293,"date":"2025-10-22T20:27:52","date_gmt":"2025-10-22T20:27:52","guid":{"rendered":"https:\/\/www.dinsmore.com\/?post_type=industries&#038;p=293"},"modified":"2026-01-29T23:06:52","modified_gmt":"2026-01-29T23:06:52","slug":"investment-funds-investment-management","status":"publish","type":"industries","link":"https:\/\/www.dinsmore.com\/industries\/investment-funds-investment-management\/","title":{"rendered":"Investment Funds &amp; Investment Management"},"content":{"rendered":"\n<p>With a well-established national presence and extensive credentials, Dinsmore offers comprehensive services for the formation of private equity funds and pooled investment vehicles, as well as support for acquisitions, sales, and restructurings of sponsor-backed companies.<\/p>\n\n\n\n<p>You can expect strong experience and skills in all aspects of the deal process, ranging from due diligence and deal structuring to vesting and incentive structures. We are also well-versed in handling matters with multiple layers of debt and equity capital.<\/p>\n\n\n\n<p>Our experience encompasses both public and private markets across diverse sectors and includes working with the following types of clients:<\/p>\n\n\n\n<ul class=\"wp-block-list\">\n<li>Private equity funds<\/li>\n\n\n\n<li>Hedge funds<\/li>\n\n\n\n<li>Family offices<\/li>\n\n\n\n<li>Institutional investors<\/li>\n\n\n\n<li>Angel investors<\/li>\n\n\n\n<li>Venture capital funds<\/li>\n<\/ul>\n\n\n\n<p>Our industry experience encompasses both public and private markets across diverse sectors, with significant capabilities across Dinsmore\u2019s practice areas, specifically in&nbsp;<a href=\"https:\/\/www.dinsmore.com\/services\/real-estate\/\">Real Estate<\/a>&nbsp;and the&nbsp;<a href=\"https:\/\/www.dinsmore.com\/industries\/health-care\/\">Health Care Industry<\/a>.<\/p>\n\n\n\n<details class=\"wp-block-details is-style-default has-primary-color has-transparent-background-color has-text-color has-background has-link-color has-custom-3-font-size wp-elements-5804bb545839ef43b3a2b76753275ae4 is-layout-flow wp-block-details-is-layout-flow\"><summary>Comprehensive Fund Formation Guidance<\/summary>\n<div class=\"wp-block-group has-global-padding is-layout-constrained wp-block-group-is-layout-constrained\">\n<p>We coordinate resources as necessary from across our individual legal practices to ensure that funds, management companies and advisers are structured properly to achieve business, tax and investment goals. Our clients depend on our experience in all aspects of fund formation, including:<\/p>\n\n\n\n<ul class=\"wp-block-list\">\n<li>Investment company and investment adviser securities regulations<\/li>\n\n\n\n<li>Tax matters<\/li>\n\n\n\n<li>Derivatives and financial product matters<\/li>\n\n\n\n<li>ERISA matters<\/li>\n\n\n\n<li>Partnership matters<\/li>\n<\/ul>\n\n\n\n<p>Our goal is to provide a full range of legal services to our private equity and venture fund clients, including advice on regulatory matters, choice of jurisdiction, choice of entity, alternative business terms, and marketing arrangements.&nbsp;In particular, we advise our clients on the complex interplay of federal and state laws and regulations governing funds, advisers and the offer and sale of securities, including the Securities Act of 1933, the Securities Exchange Act of 1934, the Investment Company Act of 1940, the Investment Advisers Act of 1940, the Dodd-Frank Act, the USA PATRIOT Act, the Internal Revenue Code of 1986, and similar state laws.<\/p>\n<\/div>\n<\/details>\n\n\n\n<details class=\"wp-block-details is-style-default has-primary-color has-transparent-background-color has-text-color has-background has-link-color has-custom-3-font-size wp-elements-d4e60b1ef320aba2be3104b106b93404 is-layout-flow wp-block-details-is-layout-flow\"><summary>Assistance throughout the acquisition process&nbsp;<\/summary>\n<div class=\"wp-block-group has-global-padding is-layout-constrained wp-block-group-is-layout-constrained\">\n<p>We represent private equity funds, buyers and sellers, and management teams at every point in the acquisition and investment process\u2014from negotiating and evaluating private equity-backed acquisition and sale transactions to restructuring and selling or acquiring distressed businesses. In addition, we support a range of other matters, including portfolio company platform acquisitions and add-on transactions, as well as providing general corporate services and representation with experienced and able&nbsp;Corporate &amp; Governance&nbsp;team members.<\/p>\n<\/div>\n<\/details>\n\n\n\n<details class=\"wp-block-details is-style-default has-primary-color has-transparent-background-color has-text-color has-background has-link-color has-custom-3-font-size wp-elements-5c8959d358a3ec285f2a1fbfcda1fe41 is-layout-flow wp-block-details-is-layout-flow\"><summary>Regulation and Compliance<\/summary>\n<div class=\"wp-block-group has-global-padding is-layout-constrained wp-block-group-is-layout-constrained\">\n<p>Dinsmore advises investment advisers and clients regarding matters related to the Investment Company Act of 1940, the Investment Advisers Act of 1940, the Securities Act of 1933, the Securities Exchange Act of 1934, the Dodd-Frank Act, the USA PATRIOT Act, the Internal Revenue Code of 1986, and the Employee Retirement Income Security Act (ERISA), including formation, organization, registration, and the availability and scope of relevant exemptions.<\/p>\n\n\n\n<p><a>Through&nbsp;<\/a><a href=\"https:\/\/dinsmorecomplianceservices.com\/\">Dinsmore Compliance Services<\/a>, we offer complete compliance solutions specializing in Advisers Act Registrants. Dinsmore Compliance Services differs from the traditional compliance consulting model, they are designed to function like a member of your team.&nbsp; Some of the key areas our compliance solutions cover are:<\/p>\n<\/div>\n\n\n\n<ul class=\"wp-block-list\">\n<li>Chief Compliance Officer (CCO) Services<\/li>\n\n\n\n<li>Establishment, Implementation, Maintenance, and Administration of the Compliance Program including all Policies &amp; Procedures<\/li>\n\n\n\n<li>Completion of Regulatory Filings<\/li>\n\n\n\n<li>Provision and Maintenance of a Compliance Calendar embodying the Policies &amp; Procedures<\/li>\n\n\n\n<li>Regulatory Examination Supervision<\/li>\n\n\n\n<li>Annual Firm Compliance Review<\/li>\n\n\n\n<li>Employee Compliance Training<\/li>\n<\/ul>\n<\/details>\n\n\n\n<details class=\"wp-block-details is-style-default has-primary-color has-transparent-background-color has-text-color has-background has-link-color has-custom-3-font-size wp-elements-ac06b2ffd3363ef2d08c97d525bf0166 is-layout-flow wp-block-details-is-layout-flow\"><summary>Acquisitions, Dispositions, and Minority Interest Investments<\/summary>\n<div class=\"wp-block-group has-global-padding is-layout-constrained wp-block-group-is-layout-constrained\">\n<p>Dinsmore regularly represents buyers, sellers, investors and management teams in a wide variety of merger and acquisition, minority interest investment, rollups and other transactions in the investment adviser vertical. The breadth of our experience enables us to provide actionable advice regarding the wide range of issues involved in ensuring that these transactions are successful, including:&nbsp;design of management compensation programs, ongoing governance arrangements, tax structuring, effective due diligence, and ensuring regulatory compliance.<\/p>\n<\/div>\n<\/details>\n\n\n\n<details class=\"wp-block-details is-style-default has-primary-color has-transparent-background-color has-text-color has-background has-link-color has-custom-3-font-size wp-elements-f3a3f3b635e96c895851cce9e0664220 is-layout-flow wp-block-details-is-layout-flow\"><summary>Institutional Investors and Limited Partners<\/summary>\n<div class=\"wp-block-group has-global-padding is-layout-constrained wp-block-group-is-layout-constrained\">\n<p>We regularly advise limited partners and institutional investors regarding&nbsp;investment vehicles and compliance with related statutory limitations, including the Bank Holding Company Act of 1956. Investment types&nbsp;include global pension funds, sovereign wealth funds, private foundations, funds of funds, family offices, banks and other regulated entities, corporate plans, university endowments, and other sophisticated investors.&nbsp;We also provide guidance to institutional investors, including banks, in connection with significant investments in these funds.<\/p>\n\n\n\n<p>We regularly advise on the following topics:<\/p>\n\n\n\n<ul class=\"wp-block-list\">\n<li>Negotiation of fund documents and side letters<\/li>\n\n\n\n<li>Negotiating secondary transactions<\/li>\n\n\n\n<li>Structuring co-investment programs<\/li>\n<\/ul>\n<\/div>\n<\/details>\n\n\n\n<details class=\"wp-block-details is-style-default has-primary-color has-transparent-background-color has-text-color has-background has-link-color has-custom-3-font-size wp-elements-7800bbfb5afd6dd1b3bd9e20063a9d20 is-layout-flow wp-block-details-is-layout-flow\"><summary>Compliance Solutions<\/summary>\n<div class=\"wp-block-group has-global-padding is-layout-constrained wp-block-group-is-layout-constrained\">\n<p>Through our affiliate<a>,&nbsp;<\/a><a href=\"https:\/\/dinsmorecomplianceservices.com\/\">Dinsmore Compliance Services<\/a>, wealth managers, investment managers, municipal advisers, \u201940 Act fund advisers, ERISA advisers, private funds advisers, hedge funds, and TAMP\u2019s can obtain ongoing compliance solutions, including:<\/p>\n\n\n\n<ul class=\"wp-block-list has-custom-1-font-size\">\n<li>Chief Compliance Officer (CCO) Services<\/li>\n\n\n\n<li>Establishment, Implementation, Maintenance, and Administration of the Compliance Program including all Policies &amp; Procedures<\/li>\n\n\n\n<li>Completion of Regulatory Filings<\/li>\n\n\n\n<li>Provision and Maintenance of a Compliance Calendar embodying the Policies &amp; Procedures<\/li>\n\n\n\n<li>Regulatory Examination Supervision<\/li>\n\n\n\n<li>Annual Firm Compliance Review<\/li>\n\n\n\n<li>Employee Compliance Training<\/li>\n<\/ul>\n\n\n\n<p>Visit&nbsp;<a href=\"https:\/\/dinsmorecomplianceservices.com\/\" target=\"_blank\" rel=\"noreferrer noopener\">www.dinsmorecomplianceservices.com<\/a>&nbsp;for more information.<\/p>\n<\/div>\n<\/details>\n","protected":false},"excerpt":{"rendered":"<p>With a well-established national presence and extensive credentials, Dinsmore offers comprehensive services for the formation of private equity funds and pooled investment vehicles, as well as support for acquisitions, sales, and restructurings of sponsor-backed companies. You can expect strong experience and skills in all aspects of the deal process, ranging from due diligence and deal\u2026<\/p>\n","protected":false},"author":5,"featured_media":0,"parent":0,"menu_order":22,"template":"single-industries-child","format":"standard","meta":{"_acf_changed":false,"footnotes":""},"tags":[],"class_list":["post-293","industries","type-industries","status-publish","format-standard","hentry"],"acf":[],"yoast_head":"<!-- This site is optimized with the Yoast SEO Premium plugin v26.5 (Yoast SEO v26.9) - https:\/\/yoast.com\/product\/yoast-seo-premium-wordpress\/ -->\n<title>Investment Funds &amp; Investment Management - Dinsmore &amp; Shohl<\/title>\n<meta name=\"description\" content=\"Dinsmore advises on fund formation and pooled vehicles, plus sponsor-backed acquisitions, sales, and restructurings.\" \/>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, max-image-preview:large, max-video-preview:-1\" \/>\n<link rel=\"canonical\" href=\"https:\/\/www.dinsmore.com\/industries\/investment-funds-investment-management\/\" \/>\n<meta property=\"og:locale\" content=\"en_US\" \/>\n<meta property=\"og:type\" content=\"article\" \/>\n<meta property=\"og:title\" content=\"Investment Funds &amp; 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