Investment Management

We are responsible for the ongoing representation of over $1.4 trillion (over 7.5%) of U.S. registered fund assets in the form of nearly 850 mutual funds, closed-end funds, ETFs and BDCs (or their independent board members) that reside in approximately 30 different fund complexes, many of which are household names or managed by industry leaders within their asset classes or investment strategies.

  • Chambers USA

    "Their lawyers work very hard and make you feel like they just work for you; the service is just outstanding." 

    - Client quoted in Chambers USA

  • Chambers USA

    "They're responsive and innovative and are always trying to figure out ways to solve problems." 

    - Client quoted in Chambers USA

  • The Legal 500

    "'Outstanding in every way'…provides 'a white-glove service'"

    - The Legal 500

Stroock has a preeminent Investment Management practice that, for almost 60 years, has offered a wide array of clients an exceptional range and depth of legal services.  Our experience with Alger, Apollo, Bank of America, Baron, BlackRock, BNY Mellon, Consulting Group Capital Markets, Credit Suisse, Dreyfus, Flaherty & Crumrine, GE, Harding Loevner, iShares, Lazard, Legg Mason, Macquarie, Mercer, Third Avenue, UBS and WisdomTree (to name a few), and the registered and unregistered funds they advise, has put us at the center of new products and regulatory developments affecting the industry.

Our representations range from start-up and specialty operations to some of the largest domestic and global asset management firms.  We have:

  • a broad and well-established practice representing registered funds, including registered alternative asset products such as registered hedge funds and private equity funds;
  • a leading practice serving as counsel to fund independent board members;  
  • significant expertise advising parties on regulatory and compliance matters, including parties subject investigations and settlements; and  
  • a diverse and long-standing representation of investment advisers and other industry service providers.

Our Investment Management practice receives nationwide industry recognition.  In the 2014 edition, The Best Lawyers in America® ranked us as "Tier 1" both in New York and nationally.  In the 2014 edition, The Legal 500 United States recommended us for our strength nationally in Investment Fund Formation and Management: Mutual/Registered Funds.  We also have been highly ranked by Chambers USA for the last several years.  In addition, each of our partners has been individually recognized by various industry publications, including Chambers USA, The Best Lawyers in America®, SuperLawyers and The Legal 500 United StatesSeveral of our attorneys have served in senior roles at the SEC, including Director or Deputy Director of the SEC's Division of Investment Management. 

The breadth of our practice has permitted us to develop expertise in important related disciplines specific to investment management—including commodities and derivatives, ERISA, litigation, private funds and tax.  We use our broad interdisciplinary knowledge of the legal issues, our awareness of the regulatory environment, and our appreciation of the intricacies of our clients' business to craft novel, comprehensive and efficient, business-based solutions for our clients.

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Attorneys in this Group


NAME TITLE OFFICE
Kirk W. Anderson Associate New York

Kirk W. Anderson
Associate
New York

Conrad G. Bahlke Partner New York

Conrad G. Bahlke
Partner
New York

Micah W. Bloomfield Partner New York

Micah W. Bloomfield
Partner
New York

Melvin A. Brosterman Partner New York

Melvin A. Brosterman
Partner
New York

Susan Cohen Special Counsel New York

Susan Cohen
Special Counsel
New York

Stuart H. Coleman Partner New York

Stuart H. Coleman
Partner
New York

Lauren Connolly Associate New York

Lauren Connolly
Associate
New York

Joel H. Goldberg Of Counsel New York

Joel H. Goldberg
Of Counsel
New York

Lisa Goldstein Associate New York

Lisa Goldstein
Associate
New York

Gary L. Granik Partner New York

Gary L. Granik
Partner
New York

Bradford A. Green Partner New York

Bradford A. Green
Partner
New York

Brian I. Greene Special Counsel New York

Brian I. Greene
Special Counsel
New York

Kim E. Kaufman Law School Graduate New York

Kim E. Kaufman
Law School Graduate
New York

Michael C. Keats Partner New York

Michael C. Keats
Partner
New York

Janna Manes Partner New York

Janna Manes
Partner
New York

Amanda K. Moore Partner New York

Amanda K. Moore
Partner
New York

Lior J. Ohayon Partner New York

Lior J. Ohayon
Partner
New York

Robert E. Plaze Partner Washington, DC

Robert E. Plaze
Partner
Washington, DC

Steven W. Rabitz Partner New York

Steven W. Rabitz
Partner
New York

Nicole M. Runyan Partner New York

Nicole M. Runyan
Partner
New York

Bruce H. Schneider Partner New York

Bruce H. Schneider
Partner
New York

David Stephens Partner New York

David Stephens
Partner
New York

Max J. Vogel Associate New York

Max J. Vogel
Associate
New York

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