Investment Funds Industry Group

LEADERSHIP: Bruce K. Fenton

The Investment Funds Industry Group has assisted clients in the following matters:

  • provided advice in connection with the formation of SBIC funds, including counseling on fund structuring, applications to the U.S. Small Business Administration and limited partner negotiations

  • advised on all aspects of the formation and structuring of a private equity fund, as well as the offering of limited partnership interests in the fund

  • advised a fund on investing in high-growth, international companies

  • assisted Emerald Asset Management, Inc. in the acquisition and institutionalization of a private fund focused on the peer-to-peer space

  • designed, documented and negotiated the acquisition of a fund and manager focused on loans originated on peer-to-peer lending platforms

  • worked on the creation of several TALF funds under the New York Fed program and their wind down

  • advised in matters involving primary dealers demanding anti-money-laundering assurances and representations

  • assisted FIS Group in the creation of two onshore and two offshore international hedge funds that will invest in frontier and emerging markets, including advising on the creation of a business model, financial arrangements and a marketing plan

  • advised StepStone Group LP on the creation of a subadvisory relationship for a registered closed-end fund that will invest in secondary purchases of KKR private equity funds, including providing regulatory and compliance assistance

  • advised on the creation of online peer-to-peer lending advisor Orchard Platform, including designing the business structure, advising on the creation and registration of the registered investment advisor and advising on compliance and licensing arrangements

  • acted as fund counsel, adviser counsel, and state and local tax counsel to Veritable, L.P.

  • provided advice to Veritable, L.P. on the creation of hedge funds, business process, compliance with new basis reporting rules and general business operation issues

  • advised on the creation of a series fund to invest in a peer-to-peer loan originated by Pave, Inc. and the development of all platform documents and agreement. Compliance and regulatory consulting.

  • advised Ashford Capital Management, Inc. on the creation of a hybrid hedge fund with a private equity investment capability, as well as the creation of all documents and procedures

  • advised Consilium Asset Management, Inc. on the creation of a U.S. fund to invest in the international frontier equity market

  • acted as general counsel, fund general counsel and regulatory counsel for Princeton Advisory Group, Inc., including providing advice on general regulatory compliance, audits, fund structuring and structured product restructuring and bringing various hedge funds and private investment funds to market

  • assisted Martin Fund Management with the creation of a managed future fund and a Commodity Pool Operator registered with the Commodity Futures Trading Commission and advised on compliance operations and compensation plans

  • assisted PVC, Inc. and its manager with an application for a no-action letter from FINRA on the applicability of the new issue exemptions.

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