Private Investment Funds

Overview

Tannenbaum Helpern’s globally-recognized Investment Management practice serves a global roster of private investment fund clients.

Whether the idea for a new standalone fund or a new fund platform comes to us from a client focusing on traditional equity or other liquid asset class, venture capital, private equity, credit or real estate, Tannenbaum Helpern lawyers have the requisite experience to advise with respect to optimal fund structures, securities regulation, tax and corporate governance, as well as relevant U.S. and non-U.S. market practice.

Applying an inter-disciplinary approach, we bring together attorneys from our Investment Management, Tax and Corporate & Securities practice areas to determine the optimal fund structure,, prepare the required offering documentation and provide regulatory advice required to operate in a fully compliant manner. We provide senior level attorneys capable of handling portfolio company acquisition and sale transactions, restructurings human capital issues at either the fund or portfolio company level, and litigation and dispute resolution attorneys able to assist in resolving business, financial or personnel disputes through formal litigation or ADR proceedings.

Representative Services:

Fund Formation: Structuring of domestic and overseas collective investment vehicles, including venture capital, private equity and hedge funds, structured finance sponsors, and dedicated investment vehicles as required, including U.S. and non-U.S. corporations, limited liability companies, partnerships and trusts.

Corporate: Merger and acquisition transactions, sales and spin-offs, seed and acceleration capital investments.

Operating Agreements: Preparation and negotiation of private placement-related and other offering documentation, shareholder/operating/partnership agreements, and ancillary contracts for investment advisers, administrators, placement agents and others.

Regulatory: Investment adviser registration-related advice and ongoing guidance with respect to SEC, CFTC, NFA, FINRA, tax and ERISA matters, private letter relief, enforcement proceedings, broker-dealer services and various compliance services, including state blue sky.

Registered Products: Publicly registered investment companies under ‘33 and ‘40 Acts, and exchange traded funds.

Executive Compensation: ERISA, employment agreements and profit sharing arrangements for executive personnel and key employees.

Dispute Resolution: Litigation, mediation and arbitration services.

Investigations: Defense of SEC, CFTC and FINRA investigations, audits and discovery demands.

Representative Experience:

  • Representation of investment fund sponsor in accidental capital investment transaction pursuit to which global financial services company acquired a material equity interest.
  • Representation of fund sponsor in regular series investments in underling ventures and early stage pharmaceutical companies.
  • Representation of a private equity fund portfolio company in high-stakes litigation for control of ownership and profit participation.
  • Representation of non-profit organization in connection with endowment and pension fund investment transactions.
  • Representation of investment fund principal in connection with regulatory investigation arising out of SEC audit.

Publications

Private Investment Funds

Tannenbaum Helpern’s globally-recognized Investment Management practice serves a global roster of private investment fund clients.

Whether the idea for a new standalone fund or a new fund platform comes to us from a client focusing on traditional equity or other liquid asset class, venture capital, private equity, credit or real estate, Tannenbaum Helpern lawyers have the requisite experience to advise with respect to optimal fund structures, securities regulation, tax and corporate governance, as well as relevant U.S. and non-U.S. market practice.

Applying an inter-disciplinary approach, we bring together attorneys from our Investment Management, Tax and Corporate & Securities practice areas to determine the optimal fund structure,, prepare the required offering documentation and provide regulatory advice required to operate in a fully compliant manner. We provide senior level attorneys capable of handling portfolio company acquisition and sale transactions, restructurings human capital issues at either the fund or portfolio company level, and litigation and dispute resolution attorneys able to assist in resolving business, financial or personnel disputes through formal litigation or ADR proceedings.

Representative Services:

Fund Formation: Structuring of domestic and overseas collective investment vehicles, including venture capital, private equity and hedge funds, structured finance sponsors, and dedicated investment vehicles as required, including U.S. and non-U.S. corporations, limited liability companies, partnerships and trusts.

Corporate: Merger and acquisition transactions, sales and spin-offs, seed and acceleration capital investments.

Operating Agreements: Preparation and negotiation of private placement-related and other offering documentation, shareholder/operating/partnership agreements, and ancillary contracts for investment advisers, administrators, placement agents and others.

Regulatory: Investment adviser registration-related advice and ongoing guidance with respect to SEC, CFTC, NFA, FINRA, tax and ERISA matters, private letter relief, enforcement proceedings, broker-dealer services and various compliance services, including state blue sky.

Registered Products: Publicly registered investment companies under ‘33 and ‘40 Acts, and exchange traded funds.

Executive Compensation: ERISA, employment agreements and profit sharing arrangements for executive personnel and key employees.

Dispute Resolution: Litigation, mediation and arbitration services.

Investigations: Defense of SEC, CFTC and FINRA investigations, audits and discovery demands.

Representative Experience:

  • Representation of investment fund sponsor in accidental capital investment transaction pursuit to which global financial services company acquired a material equity interest.
  • Representation of fund sponsor in regular series investments in underling ventures and early stage pharmaceutical companies.
  • Representation of a private equity fund portfolio company in high-stakes litigation for control of ownership and profit participation.
  • Representation of non-profit organization in connection with endowment and pension fund investment transactions.
  • Representation of investment fund principal in connection with regulatory investigation arising out of SEC audit.
Print
This Page