Asset Management & Investment Funds

Our Asset Management practice provides legal services to a wide array of clients in the asset management industry, including private funds, investment advisers, broker dealers and other regulated entities.  We advise asset managers on subjects including operations, fund formation, compliance, regulation, trading issues, employment matters, intellectual property protection, and ERISA issues. In addition, we advise clients with respect to investment opportunities, including private equity, private debt, structured finance deals and other business transactions.  Depth of industry knowledge and experience helps us to create pragmatic legal solutions for our clients, and to create lasting advisory support for clients’ business and strategic needs. 

Private Funds

Our attorneys are experienced in issues relating to the formation and ongoing operation of hedge funds, funds of funds (U.S. and offshore), private equity funds, separate accounts, registered investment advisers, and related matters, including management company structuring, marketing, employment agreements, solicitation agreements, joint ventures, seed capital arrangements, regulatory compliance and general organizational matters. We take a “team approach” and work side-by-side with a client’s other service providers, including banks, brokerage firms, administrators, custodians and other law firms to coordinate services. 

We advise fund clients with respect to:  fund structuring, regulatory and ongoing compliance matters, including advice relating to: the Securities Act of 1933; the Securities Exchange Act of 1934; the Investment Advisers Act of 1940; the Commodity Exchange Act; FINRA Rules; and other applicable laws; management company structuring and planning; employee compensation; investor admittance issues, including side letters and strategic investments; regulatory filings and advice relating to blue sky; entity formation/qualification; CFTC/ NFA commodity pool operation and commodity trading advisor registration or exemption; SEC and state investment adviser registration; broker-dealer operations; disclosures under Forms 3, 4, 5, 13D, 13G, 13H, SLT and Schedule 13F; transaction advice relating to: restricted securities, distressed debt, PIPEs and other equity and debt investments; structured finance; agreements concerning derivatives, prime brokerage, custody and related matters; repurchase agreements, secured/unsecured borrowings and other forms of leverage; joint ventures, seed capital arrangements, venture capital transactions, mergers & acquisitions; asset purchases and sales; counsel on trademark registration and enforcement; and real estate advice, including: leases and sub-leases.

Investment Manager

We provide investment advisory clients with full legal support for formation and registration under federal and state securities laws.  We provide advice with respect to investment advisory clients, disclosure documents, establishment of compliance programs as well as ongoing compliance support with respect to state and federal securities laws, including the development of compliance policies and procedures and codes of ethics, as well as the performance of compliance audits; trading and reporting requirements (including insider trading obligations); advertising and marketing activities, including website and performance disclosures and solicitation arrangements with third parties; establishing “wrap fee” and other managed account programs; ERISA matters; the review of potential investment and other products; and employment and general business matters. 

Brokers Dealers And Other Related Entities

We assist broker-dealer clients with their formation and registration under federal and state securities laws.  We advise these clients with respect to customer agreements; finder activities; compensation arrangements; ongoing compliance with state and federal securities laws; trading, margin, clearing and settlement, reporting and record-keeping obligations; and employment and general business matters.