Corporate & Securities

Investment Funds

Whether the market is up or down, investors will continue to be challenged to deliver robust performance. Our experienced legal team can provide you with knowledgeable advice and assistance to help you meet your commitments and achieve optimal outcomes.

In the investment counsel field, Mintz Levin is a national leader. For many years, we have focused on serving the particular needs of institutional investors, mutual funds, insurance companies, asset managers, endowments, pension funds, investment advisors, trusts, and other large investors. Our clients include many of the nation’s most prominent investors in municipal debt and private equity as well as leading investors in corporate debt and equity securities.

Quick Facts


  • Work with alternative investment funds dates back to mid-1970s, when institutional investors began investing
  • Hundreds of fund formations completed
  • Instrumental in development of standard fund provisions, such as clawback and blocker structures
  • Leadership role in developing structures to deal with recent institutional investor liquidity constraints
  • Diverse client base of venture capital, private equity, hedge, real estate, energy, and debt funds
  • Investment management attorneys with fund experience as principals

Areas of Focus

  • Advise fund sponsors and asset managers in all aspects of their activities
    • Product development
    • Structuring and formation
    • Private and public offerings and secondary sales
    • Compliance policies and procedures under relevant statutes (including the 1940 Act, 1933 and 1934 Acts, Sarbanes-Oxley, CEA, and Investment Advisers Act)
    • Establishment and maintenance of appropriate operating policies and procedures, including the securities, tax, and ERISA work involved at each stage of development
    • Development of internal infrastructure for fund and asset management to allocate risks and rewards efficiently
    • Mergers and acquisitions

  • Assist institutional investors as investors in many of the leading private capital funds operating in the United States and globally
  • Serve as purchaser’s counsel, representing a number of tax-free and taxable bond funds as lead investors in bond financings, and as counsel to independent trustees
Sort by: Name  Title  Office

Boston 617.348.3084
Boston 617.348.1840
Adam D. Gale

Adam D. Gale

Member

New York 212.692.6827
San Diego 858.314.1515
San Francisco 415.432.6000
New York 212.692.6882
Boston 617.348.1669
New York 212.692.6884
San Diego 858.314.1519
New York 212.692.6794
Mark Nemes

Mark Nemes

Associate

New York 212.692.6718
San Diego 858.314.1873
Boston 617.348.1725

Representative Experience

  • Institutional investors we have represented include MIT, Dartmouth, Johns Hopkins University, Tufts University, AOL Investments, Deutsche Bank, Compaq Computer Corporation, Liberty Mutual, Manulife Financial, Massachusetts Public Retirement Trust, and Ohio State Teachers Retirement Funds.
  • Represented institutional investors in over 400 US and international venture capital, private equity, distressed debt, hedge, real estate, and other alternative investment funds, and have worked with them on significant, individually managed account relationships.

Clients We Serve

Representative Funds

  • Debt
  • Energy
  • Hedge funds and commingled investment products
  • Investment companies and business development companies (BDCs)
  • Private equity
  • Real estate
  • Venture capital

  • PEHub Can You Get Exempt? Legal Pro Eyes Dodd-Frank Adam D. Gale discusses the changes to requirements for PE fund managers to register as investment advisers as outlined by the Dodd-Frank Wall Street Reform and Consumer Protection Act.

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