Private Investment Funds

Overview

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

With clients ranging from global investment banks’ alternative investment fund platforms to sponsors of initial standalone offerings, Tannenbaum Helpern’s investment management attorneys have the requisite experience to advise on 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 practices 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 M&A transactions and advising with respect to top tier restructurings and employment 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.

Offering Documentation and Operative 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 capital investment transaction pursuant to which global financial services company acquired a material equity interest.
  • Representation of fund sponsor in an ongoing series investments in underlying ventures and early stage pharmaceutical companies.
  • Representation of a private equity fund portfolio company in 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 management company in connection with regulatory investigation arising out of SEC audit.
Private Investment Funds

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

With clients ranging from global investment banks’ alternative investment fund platforms to sponsors of initial standalone offerings, Tannenbaum Helpern’s investment management attorneys have the requisite experience to advise on 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 practices 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 M&A transactions and advising with respect to top tier restructurings and employment 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.

Offering Documentation and Operative 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 capital investment transaction pursuant to which global financial services company acquired a material equity interest.
  • Representation of fund sponsor in an ongoing series investments in underlying ventures and early stage pharmaceutical companies.
  • Representation of a private equity fund portfolio company in 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 management company in connection with regulatory investigation arising out of SEC audit.
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