Corporate
Investment Management and Broker-Dealer Transactions
Sections
IM Deals Blog
The IM Deals Blog covers transactional developments across the investment management industry.
IM Deals Blog
The IM Deals Blog covers transactional developments across the investment management industry.
IM Deals Blog
The IM Deals Blog covers transactional developments across the investment management industry.
IM Deals Blog
The IM Deals Blog covers transactional developments across the investment management industry.
Overview
Seward & Kissel’s Mergers & Acquisitions practice regularly advises buy-side and sell-side clients on transactions involving investment management and broker-dealer businesses, including:
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- Joint ventures and strategic alliances
- Majority stake and 100% acquisitions and dispositions
- Minority stake investments
- Seed transactions
- Spin-offs and lift-outs from existing platforms
These matters span the full investment management and brokerage industries. Our experience includes advising managers of mutual funds, hedge funds, private equity and venture capital funds, as well as institutional investment managers, wealth managers, registered investment advisers, broker-dealers, collateralized loan obligation managers and family offices. We also share market activity and related insights and practical perspective on sector transactions through our IM Deals blog.
Seward & Kissel has one of the largest investment management practices in the world, supported by tax, employment, ERISA and regulatory attorneys dedicated to the investment management and broker-dealer industries. By working closely with our Investment Management attorneys, we take an interdisciplinary approach that draws on deep experience across practices to develop innovative transaction structures and address complex legal issues efficiently and effectively.
Capabilities
Related Practice Areas
Representative Work
- Represented Kennedy Lewis Investment Management LLC, a leading opportunistic credit manager with over $30 billion in assets under management, in connection with its strategic investment from Petershill at Goldman Sachs Asset Management.
- Represented Kudu Investment Management, a provider of permanent capital solutions to the asset and wealth management industries, in connection with its receipt of an equity investment from MassMutual and with its minority equity investments in investment management firms Bingham Osborn and Scarborough, Champlain Investment Partners, Creation Investments Capital Management, Douglas Winthrop Advisors, EJF Capital, Escalate Capital Partners, Fair Oaks Capital, GenTrust, LLC, Gramercy Funds Management, LLC, Granahan Investment Management, Homestead Capital USA, Martis Capital Management, Osborn & Scarborough, Pennybacker Capital, Radcliffe Capital Management, Ranger Investment Management, Revelation Partners, RiverNorth Capital Management, LLC, Sage Advisory Services, TIG Advisors, Variant Investments, LLC, Versus Capital Advisors, Warwick Capital, and West End Advisors.
- Represented AlTi Global, Inc. (NASDAQ:ALTI) in connection with its formation and public listing resulting from the merger of Tiedemann Advisors, TIG Advisors, UK-based Avlarium Investments Limited and Cartesian Growth Corporation and its subsequent acquisitions of East End Advisors and Envoi, LLC.
- Represented Marex Group plc (NASDAQ:MRX), a UK-based diversified global brokerage and financial services platform with more than 50 offices and 3,000 employees across Europe, Asia and the Americas, in connection with its acquisitions of the prime brokerage business of Cowen from The Toronto-Dominion Bank, ED&F Man Capital Markets, X-Change Financial Access and Rosenthal Collins Group.
- Represented iM Global Partner, a Paris-based worldwide asset management network, in connection with its minority stake investments in Asset Preservation Advisors, Berkshire Asset Management, Dolan McEniry Capital Management, Dynamic Beta Investments, Polen Capital Management, Richard Bernstein Advisors, Scharf Investments, Sirios Capital Management, and Trinity Street Asset Management; in connection with its acquisition of Litman Gregory, a San Francisco-based wealth and asset management services firm and the acquisition of the private client business of Wedgewood Partners Inc.; in connection with the sale of Litman Gregory Wealth Management to Beacon Pointe Advisors; and in connection with the sale of Richard Bernstein Advisors to Janus Henderson Group plc.
- Represented Riverbridge Partners, LLC, an investment management firm with over $11 billion in assets under management, in its partnership with Lincoln Peak Capital Management, LLC.
- Represented Emigrant Partners, a subsidiary of New York Private Bank & Trust, in connection with its minority investments in wealth managers Autus Asset Management, Gerber Taylor Capital Advisors, NorthRock Partners, Parallel Advisors, Pure Financial Advisors, and Stratos Wealth Holdings.
- Represented Mission Wealth, a leading wealth management firm with over $10.6 billion in assets under management, in connection with its investment from Great Hill Partners, a private equity firm targeting investments in high-growth companies.
- Represented The Investment Center, Inc., a broker-dealer and registered investment adviser in connection with the sale of its business to LPL Financial LLC (NASDAQ:LPLA).
- Represented dozens of wealth management firms in connection with the sales of their businesses to purchasers that have included Corient Private Wealth, Hightower Advisors, Beacon Pointe Advisors, Mercer Global Advisors, Mariner Investment Group, Savant Wealth Management, Pathstone Family Office, Arax Investment Partners, and Concurrent Investment Advisors.
Related Practice Areas
Representative Work
- Represented Kennedy Lewis Investment Management LLC, a leading opportunistic credit manager with over $30 billion in assets under management, in connection with its strategic investment from Petershill at Goldman Sachs Asset Management.
- Represented Kudu Investment Management, a provider of permanent capital solutions to the asset and wealth management industries, in connection with its receipt of an equity investment from MassMutual and with its minority equity investments in investment management firms Bingham Osborn and Scarborough, Champlain Investment Partners, Creation Investments Capital Management, Douglas Winthrop Advisors, EJF Capital, Escalate Capital Partners, Fair Oaks Capital, GenTrust, LLC, Gramercy Funds Management, LLC, Granahan Investment Management, Homestead Capital USA, Martis Capital Management, Osborn & Scarborough, Pennybacker Capital, Radcliffe Capital Management, Ranger Investment Management, Revelation Partners, RiverNorth Capital Management, LLC, Sage Advisory Services, TIG Advisors, Variant Investments, LLC, Versus Capital Advisors, Warwick Capital, and West End Advisors.
- Represented AlTi Global, Inc. (NASDAQ:ALTI) in connection with its formation and public listing resulting from the merger of Tiedemann Advisors, TIG Advisors, UK-based Avlarium Investments Limited and Cartesian Growth Corporation and its subsequent acquisitions of East End Advisors and Envoi, LLC.
- Represented Marex Group plc (NASDAQ:MRX), a UK-based diversified global brokerage and financial services platform with more than 50 offices and 3,000 employees across Europe, Asia and the Americas, in connection with its acquisitions of the prime brokerage business of Cowen from The Toronto-Dominion Bank, ED&F Man Capital Markets, X-Change Financial Access and Rosenthal Collins Group.
- Represented iM Global Partner, a Paris-based worldwide asset management network, in connection with its minority stake investments in Asset Preservation Advisors, Berkshire Asset Management, Dolan McEniry Capital Management, Dynamic Beta Investments, Polen Capital Management, Richard Bernstein Advisors, Scharf Investments, Sirios Capital Management, and Trinity Street Asset Management; in connection with its acquisition of Litman Gregory, a San Francisco-based wealth and asset management services firm and the acquisition of the private client business of Wedgewood Partners Inc.; in connection with the sale of Litman Gregory Wealth Management to Beacon Pointe Advisors; and in connection with the sale of Richard Bernstein Advisors to Janus Henderson Group plc.
- Represented Riverbridge Partners, LLC, an investment management firm with over $11 billion in assets under management, in its partnership with Lincoln Peak Capital Management, LLC.
- Represented Emigrant Partners, a subsidiary of New York Private Bank & Trust, in connection with its minority investments in wealth managers Autus Asset Management, Gerber Taylor Capital Advisors, NorthRock Partners, Parallel Advisors, Pure Financial Advisors, and Stratos Wealth Holdings.
- Represented Mission Wealth, a leading wealth management firm with over $10.6 billion in assets under management, in connection with its investment from Great Hill Partners, a private equity firm targeting investments in high-growth companies.
- Represented The Investment Center, Inc., a broker-dealer and registered investment adviser in connection with the sale of its business to LPL Financial LLC (NASDAQ:LPLA).
- Represented dozens of wealth management firms in connection with the sales of their businesses to purchasers that have included Corient Private Wealth, Hightower Advisors, Beacon Pointe Advisors, Mercer Global Advisors, Mariner Investment Group, Savant Wealth Management, Pathstone Family Office, Arax Investment Partners, and Concurrent Investment Advisors.
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