Hedge Funds, Securities, Investment Management

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Overview

We advise clients on a broad range of investment management, securities law and corporate matters. We have extensive experience representing hedge funds and private equity funds in organizing and structuring private investment vehicles in both the U.S. and off-shore jurisdictions. Our clients also include SEC and state registered investment advisers, commodity pool operators, commodity trading advisors, broker dealers, introducing brokers, and exempt reporting advisers. The firm takes a holistic approach to fund formation, examining a range of variables, including investor profile, strategy focus, liquidity expectations, tax and regulatory compliance issues into consideration to collaboratively work with each manager to determine optimal fund structure. The full description of the fund formation process can be found here.

We have advised numerous funds pursuing diverse strategies, including long-only, equity and option long-short, global macro, real estate, micro-cap, forex, futures, statistical arbitrage, quantitative, multi-strategy, emerging market, sector focused, volatility arbitrage, fixed income, cash advance, real estate tax lien, distressed and start-up companies. We counsel fund managers, private fund sponsors and institutional investors on a broad range of complex and sophisticated investment management legal issues. We have launched an array of private equity, hedge and hybrid funds, including master-feeders, fund of funds, first-loss funds, multi-class and series LLC funds as well as parallel and stand-alone funds. We have extensive experience drafting and reviewing fund documents, including offering memoranda, limited partnership agreements, limited liability company agreements, investment management agreements, subscription agreements, side letter agreements, collateralized loan agreements, third party marketer agreements, employment agreements, licensing agreements, and offshore offering and operational agreements, service provider agreements, convertible note, stock purchase agreements, investor rights agreements, indemnification agreements, and legal opinions, among others.

We have comprehensive knowledge of various compliance issues, including Regulation D offerings and other capital raises, soft dollars, fiduciary duties, performance advertising, general solicitation, new issues, policies and procedures manuals and best practices, employment issues and general corporate and securities matters. We counsel on legal issues arising under the Investment Advisers Act, the Investment Company Act, the Securities Act, the Securities Exchange Act, the Commodity Exchange Act and the Dodd-Frank Wall Street Reform and Consumer Protection Act.

Big Firm Experience with Boutique Attention

We offer the experience and sophistication of big firm counsel with the responsiveness, in-depth knowledge and continuity of a small team of attorneys. We understand that the fund formation and offering process can be difficult to understand. The alternative investment industry landscape is complex and rapidly changing. We stay abreast of all relevant regulatory changes in the space and inform our clients of these changes in a timely and easy to understand manner.

Flat Fee Transparent Pricing

We understand that cost control is particularly important at the early stages of any business’ development. Therefore, on many matters, we offer clients the certainty of a fixed flat fee, with clarity as to the services that will be provided under such agreement.