Investment Management & Private Funds

Winstead counsels clients in all aspects of investment management and private funds—fund formation, advisor/manager mergers and acquisitions, portfolio transactions, regulatory and compliance matters. We regularly represent private real estate funds, real estate investment trusts (REITs), private equity funds, hedge funds, venture capital funds, commodity pools, oil and gas funds, traditional wealth managers, universities, family offices, and other privately held entities. Winstead also frequently represents large investors and the managers of these funds in structuring their investments.

Winstead takes a multidisciplinary approach to client service; our team pulls members from our corporate, tax, real estate, ERISA and litigation practices, as needed, to provide clients with a well-rounded legal solution to their business objectives.  Understanding the client's business operations and objectives at the start of every transaction is a key success factor.

Our attorneys help our fund clients become more streamlined and efficient.  We assist with structuring and tax issues, ERISA concerns, regulatory scrutiny, platform acquisitions, purchase and disposition of add-ons and other fund assets.  Our regional rates allow for flexibility as we address our clients’ needs.

Investment Management & Private Funds Snapshot of Strengths

Our services span the full range of client needs, including:

  • Fund Formation: Structuring and tax planning. Raising capital.  Seed Investments. Debt and equity financings for funds of all types.
  • Mergers and Acquisitions: Acquisitions and dispositions of investment management and advisor firms, portfolio companies, including bankruptcies and other distressed situations, liquidity transactions, equity and debt financings, and sales and changes of control transactions.
  • Operations: Day-to-day management, governance, SEC compliance, including registration and marketing restrictions, tax, ERISA, IP, HR and commercial contracts.

Additional experience includes:

  • Regulatory investigations and proceedings
  • Administrative hearings
  • Enforcement actions
  • Investor due diligence and scrutiny
  • Investor litigation
  • Compliance with the U.S. Advisers Act of 1940 and the U.S. Investment Company Act of 1940
  • Compliance with The Commodity Exchange Act
  • Registered funds vs. Exempt funds compliance
  • Texas State Securities Board regulations

Search Tips:

You may use the wildcard symbol (*) as a root expander.  A search for "anti*" will find not only "anti", but also "anti-trust", "antique", etc.

Entering two terms together in a search field will behave as though an "OR" is being used.  For example, entering "Antique Motorcars" as a Client Name search will find results with either word in the Client Name.


AND and OR may be used in a search.  Note: they must be capitalized, e.g., "Project AND Finance." 

The + and - sign operators may be used.  The + sign indicates that the term immediately following is required, while the - sign indicates to omit results that contain that term. E.g., "+real -estate" says results must have "real" but not "estate".

To perform an exact phrase search, surround your search phrase with quotation marks.  For example, "Project Finance".

Searches are not case sensitive.

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