Fund Formation and Representation

Our legal services to fund managers begins with legal guidance with the business and structural planning for their proposed investment fund and the overall implementation of the advisable fund structure.  As the fund begins to raise and deploy capital, our fund provides the necessary legal guidance in connection with the various fund raising and capital deployment activity, as well as with the additional legal, general corporate governance and compliance aspects of the operation of the fund and through the final payout stage.

In connection with fund formation, structuring and operations, our legal services to fund managers include:

  • Fund fee structuring, capital raising and business approach;
  • Securities offering and capital raising methods;
  • Capital deployment and investor side representation;
  • Registration requirements, exceptions and exemptions in connection with securities offerings;
  • Registration requirements, exceptions and exemptions under the Investment Company Act of 1940;
  • Registration and reporting requirements, exceptions and exemptions under the Investment Advisers Act of 1940;
  • Broker-dealer rules under the Securities Exchange Act of 1934;
  • State law considerations;
  • Investor side representation in capital deployment;
  • Fund organization and formation of the necessary entities;
  • Operational agreements and documentation such as limited partnership agreements, operating agreements, investment management agreements, risk factors, PPM and subscription documentation;
  • Corporate governance and general fund representation.

Contact our firm today to obtain more information regarding our legal services to venture capital and growth equity funds.

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