Private Investment Funds

We provide a comprehensive suite of services, including structuring the investment pool vehicle(s), formation of the pool and managing partnership/member, drafting offering documents, compliance with SEC and NFA registration and exemption requirements, developing service provider agreements and compliance and marketing practices for managing the portfolios and raising capital.

Our legal and compliance services will afford you with a one-stop alternative to preparing offering documents, perfecting exemptions and satisfying registration standards, analysis, and implementing necessary compliance policies and procedures.

If you have already launched one or more funds, we will assist in reviewing your offering documents, exemption filings, and compliance, marketing and operating procedures to keep you updated on recent regulatory requirements.

Many registered investment advisers are seeking access to the alternative investments market to offer customers options not available in the registered securities markets. There are many ways in which registered advisers and exempt advisers may offer pooled investment vehicles to customers without losing or otherwise compromising the advisory relationship with such customers. Let us assist you in structuring programs to offer access to sophisticated customers in a manner that advantages, rather than detracts from, your advisory business.

The regulations governing third-party service providers to exempt funds is complicated and requires analysis of state and federal registration and exemption requirements. Compliance procedures with specific practices for fund management and/or marketing must be established and maintained to offer the sophisticated services required by current private funds.