Effectively manage investment funds through changing economic environments by leveraging KPPB LAW’s globally recognized investment management expertise. KPPB LAW’s Investment Management practice team, led by NYC-based Partner Raj Mahale, brings decades-long experience representing clients in every aspect of fund formation and investment management transactions. Our full-life cycle services focus on raising capital and investing domestically and globally through private placement memorandums and fund formation and structuring; emerging managers practice; and family office practice.
- Private Funds
- Investment Advisors
- Mutual Funds
- International Financial Regulation
- Institutional Investor Representation
- Derivatives & Other Capital Markets Transactions
- Emerging Managers Practice
- Family Office Practice
Advantages of KPPB LAW’s Investment Management Services
KPPB LAW’s Investment Management Practice is nimble and knowledgeable to address the full cycle of investment needs. Our recent client work includes establishing funds and fund of funds that are onshore and offshore as well as feeder fund investing in the emerging markets; creating relationships with law firms, consulting firms and tax firms in the emerging markets. We have also helped formed several real estate funds that invest in the hospitality and multi-family sectors nationally. Leverage all the advantages of our investment management practice. Contact Raj Mahale to discuss a strategic approach for your investment management.
Experience
Nearly three decades of M&A and “40 Act” securities expertise both domestically and globally (notably India, Singapore, Hong Kong, and the Middle East) homed in big-law settings personalized to client needs in a national, mid-size law firm setting.
Billion-dollar volume
Expertise managing multi-billion-dollar global investments.
South-Asian founders
We are the nation’s largest South Asian owned law firm with a dominant South Asian client and professional community, supported by a multidisciplinary legal practice offering full-service client support.
Securities/fund complexity expertise
From feeder funds to regional funds, KPPB LAW brings knowledge, experience, and familiarity with all levels of securities complexity and fund dynamics.
Interdisciplinary Approach
Our Investment Management Practice team applies an inter-disciplinary approach, bringing 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. Members of the KPPB LAW multidisciplinary legal team handle portfolio company M&A transactions and advise 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.
Who Benefits from Our Investment Management Services
We have extensive experience with all varieties of investment funds, including United States hedge funds; Cayman Islands, Bermuda and other offshore hedge funds; private equity and venture capital funds; real estate funds; feeder funds; and fund of funds and group trusts.
Our experience benefits investors, investment funds, investment companies, fund managers (including registered investment advisers), private money managers, investment management divisions of banks and their trust and investment departments (including their collective and common trust funds), broker-dealers and other institutional investors.
Successfully managing investment funds in today’s economic environment requires the skills and oversight of seasoned legal professionals with proven experience. KPPB’s Investment Management Team has a long history of representing clients in every aspect of fund formation and investment management transactions.
Our team counsels a wide range of clients, including investors, investment funds, investment companies, fund managers (including registered investment advisers), private money managers, investment management divisions of banks and their trust and investment departments (including their collective and common trust funds), broker-dealers and other institutional investors. We have extensive experience with all varieties of investment funds, including United States hedge funds; Cayman Islands, Bermuda and other offshore hedge funds; private equity and venture capital funds; open-end and closed-end mutual funds; registered hedge funds; real estate funds; funds of funds and group trusts.
We combine experience, insight and creativity to deliver well-informed advice on all aspects of investment management, including:
- fund formation, operation and management
- regulatory compliance and enforcement
- fund mergers and acquisitions, liquidations and other restructurings
- data security and privacy
- Office of Foreign Assets Control (OFAC) requirements
- private equity, venture capital, real estate funds, mutual funds, common and collective trust funds
- disclosure requirements
- fund distribution arrangements
- new and innovative investment products
- cross-border and international investment
Private Funds
Our team has extensive experience structuring and organizing private investment funds, including onshore and offshore hedge funds, venture capital funds, private equity and leveraged buyout funds, funds focused on particular foreign countries or markets, specialized real estate funds and funds of funds. We regularly assist clients with:
- structural issues
- drafting or reviewing a fund’s term sheet, private placement memorandum, partnership agreement and operating agreement
- preparing the investor subscription agreement
- advising on applicable federal and state securities laws
- forming alternative investment vehicles
- negotiating with investors’ counsel
- drafting or reviewing fund contracts with service providers
- assisting with investor correspondence
- restructuring or renegotiating documentation
- conducting legal due diligence and risk mitigation analysis
- structuring “master/feeder” arrangements
For offshore funds, we evaluate the location and tax implications for investors, investments and advisers to help the sponsor determine the optimal jurisdiction for fund organization, the need for multiple entities or tiers and the appropriate service providers.
We also have experience representing private investment funds in start-up, growth stage and turn-around venture capital and other equity investments; leveraged acquisition and recapitalization transactions; and sales, redemptions and other divesture and liquidity transactions.
Investment Advisers
We have advised numerous domestic and non-U.S. investment advisers in all aspects of fiduciary and regulatory issues under both the Investment Advisers Act of 1940 and applicable state law. Our practice includes forming investment advisers, advising investment advisers on issues concerning the need to register with the Securities and Exchange Commission (SEC) or applicable states and assisting with such registrations. In addition, we assist with investment management contracts, SEC and state filings, disclosure documents, referral arrangements, audits and enforcement proceedings, compliance and supervisory procedures, pension rules, custody rules, brokerage, trading and soft dollar matters, wrap accounts and investment performance advertising and marketing issues.
We represent clients of all sizes, from investment advisory divisions of large U.S. banks and multinational financial institutions to smaller, independent registered and private investment advisers. Regardless of their size, our commitment to every client is the same – to provide strategic, effective advice that meets all of your investment management needs.
Mutual Funds
Our team has organized and represented investment companies registered under the Investment Company Act of 1940. We can assist you with:
- complex fund structures
- drafting and updating registration statements and prospectuses
- drafting fund contracts with service providers
- responding to ongoing marketing, regulatory and compliance issues
- advising on SEC filing and disclosure requirements
- attending quarterly and special board of directors meetings
- guiding directors through fiduciary and regulatory matters
- representing mutual fund advisers on matters specific to their investment company business
International Financial Regulations
KPPB guides financial services institutions through the legal intricacies of global operations. Our attorneys understand the benefits as well as the risks associated with international financial regulations. We assist clients that wish to expand their market shares by helping with structuring their international operations in a way that minimizes risks and maximizes efficiencies. Further, by working with counsel in more than 50 jurisdictions across the globe, we provide important analysis of international regulatory developments in order to assist clients with understanding and complying with local restrictions and requirements, such as local authorizations, tax regulations, labor and employment laws, securities and insurance licensing, privacy and data protection requirements, and other local regulations.
Institutional Investor Representation
Our clients include a range of different institutional investors, endowments, pension funds, trusts and other investors for whom we review and analyze documentation for all manner of fund investments.
Derivatives and Other Capital Markets Transactions
Members of our team have diverse experience working with hedge funds, mutual funds, pension plans and other capital markets participants in connection with all manner of derivative transactions used to hedge or speculate with respect to interest rate, currency, credit, equity, commodity and weather-related risk. In addition, we have worked with hedge funds and investors to structure investments by hedge fund investors through derivative instruments or otherwise in lieu of traditional purchases of hedge fund interests. We also have knowledge and direct experience with repurchase agreements, securities lending agreements and similar transactions relevant to obtaining leverage, controlling lending risk, enhancing portfolio returns and facilitating trading activity.
Emerging Managers Practice
KPPB LAW integrates efforts with the largest and best-known investment managers in the world and high-profile startup managers—to launch new investment management businesses. Startup managers benefit from lawyers who are creative, flexible, efficient—and responsive. Based on our firm’s decades-long history of leadership in representing investment managers, we remain uniquely committed to providing emerging managers with the highest level of client service and legal advice.
Emerging Managers Practice services include:
- Structuring onshore and offshore funds
- Structuring feeder funds
- Comprehensive offering and organizational documents
- Tax counseling
- Strategic investor and seed transactions
- GP and manager agreements
Family Office Practice
KPPB LAW’s investment management practice counsels wealthy families, based, both in the United States and internationally, on a range of legal issues involved with the raising capital through private placement memorandums and structuring their investments for the purposes of creation, growth, preservation, management, and transfer of their wealth. Every family office is unique we personalize our services to meet the needs of each client. Because KPPB LAW integrates various areas of our firm’s knowledge and experience, we seamlessly address high-net worth families with a variety of family office practice services.
Family Office Practice Services include:
- Structuring family office ownership and management
- Developing federal, state, local, and cross-border income and transfer tax planning for family entities and individual family members
- Advising regarding direct investments and allocation of capital to third-party managers
- Assisting family offices in complying with the Advisers Act and other federal and state regulatory requirements
- Designing and implementing family and philanthropic wealth transfer plans
- For families with growing trust networks, designing and implementing private trust companies, which provide robust, multigenerational governance structures, incentives to attract non-family experts as fiduciaries, and potential federal and state tax benefits
Contact KPPB LAW for Investment Management Services
For professional legal guidance and service related to investment management, contact KPPB LAW by phone or online today.
