Private Fund Investments

We have many years of experience serving as counsel to Private Fund companies, Fund managers, and high net worth clients providing a full range of services for our Private Fund clients, including Fund formation, post-launch investment management matters, and investor representation. With our extensive knowledge and experience in corporate law and business administration, particularly in the areas of securities, finance, real estate, investment management, and mergers and acquisitions, we collaborate with our clients to determine their specific needs and find the best legal solutions for businesses and their Private Funds.

A Private Fund is more than just the Private Fund itself. The Fund may have a separate investment adviser (RIA). The Private Fund, the RIA, and any other management entity are all separate legal entities, which must be legally constructed prior to accepting investments in the Private Fund. Additionally, we must determine the proper legal exemption from registration and be certain it is complied with prior to offering the Private Fund investment to potential investors. We counsel clients on all legal considerations and requirements necessary to offer Private Funds.

Our Private Fund services include:

  • Providing advice and counsel to ensure compliance with federal securities laws
  • Forming and structuring Private Funds
  • Determination of Fund qualification for exemption from registration
  • Identification and preparation of required regulatory filings (including
  • Structuring internal governance and economic terms among the Private Fund management team
  • Preparing operating agreements and other organizational agreements
  • Preparing investment contracts
  • Preparing stockholder agreements
  • Preparing subscription agreements
  • Preparing private placement memorandums
  • Reviewing Private Fund offering documents and negotiation of terms
  • Due diligence
  • Providing advice and counsel on various other issues impacting Private Funds, such as economic arrangements, reorganizations, and restructuring


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Regulatory Defense, Securities Litigation, Private Funds, RIA Registration, General Counsel, Mergers & Acquisitions, FINRA Expungements

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