Baker Donelson was ranked by The National Law Journal in 2007 as one of the 100 largest law firms in the country. Through strategic acquisitions and mergers over the past 100 years, Baker Donelson has grown to include more than 530 attorneys and public policy and international advisors. Baker Donelson\'s headquarters are centrally located in Memphis, Tennessee with offices throughout the Southeastern United States, as well as Washington, DC and Beijing, China. Our attorneys are licensed in over 30 jurisdictions, including NY & CA. Baker Donelson\'s alternative investment practice includes fund/adviser formation, on-going compliance advice, SEC/AML audit preparation and ERISA/tax matters, as well as expertise in broker/dealer matters.
Bressler, Amery & Ross is nationally recognized for its practice in the area of securities litigation and regulation. For over 30 years, we have represented financial institutions, individuals, investment and financial advisory firms, and investment funds and advisors before state and federal courts and regulatory bodies throughout the nation. Our clients include many of the leading national brokerage and clearing firms, as well as regional firms. The firm defends brokerage firms, hedge funds, hedge fund advisors and consultants, and associated persons in individual actions, class actions, and mass action litigation in state and federal courts and in arbitrations before the securities industry’s self-regulatory organizations and the American Arbitration Association. These cases include allegations such as misrepresentation, due diligence, fraud, unsuitability, churning, conflicts of interest involving firm research departments and individual research analysts, improper mutual fund sales practices, fraud in underwriting, and other similar issues. Despite our expertise in these areas, our practice extends well beyond litigation and arbitration. We represent firms and associated persons in connection with formal and informal regulatory and law enforcement inquiries and disciplinary proceedings before the Securities and Exchange Commission, the Financial Industry Regulatory Authority, state regulatory bodies, and state attorneys general. We advise our clients on internal policies and procedures designed to minimize the risk of litigation or regulatory inquiries and proceedings and assist with intercompany and industry agreements and disputes. We also provide advice in the formation and registration of broker-dealers, the transfer and ownership of existing firms, and firm and individual licensing with state regulatory agencies and FINRA.
Cobb & Associates PC is a specialized boutique law firm devoted exclusively to serving the alternative investment community. The Firm’s business goal is to provide the breadth and expertise of a large firm across all key practice areas while offering the cost competitiveness, accessibility and flexible approach typically found only at smaller firms. The Firm is particularly active in furnishing legal and business advice to startup managers. The principal of the Firm, Jeffrey Cobb, has over 30 years’ experience in the investment management area, including 12 years at Schulte Roth & Zabel, where he was a partner. Clients are based both in the greater New York metropolitan area as well as nationwide and include over 200 hedge funds and offshore funds, funds of funds, registered investment advisers and broker-dealers. The Firm advises as to structuring and formation, agreements among principals, funding and marketing arrangements, securities law matters, federal and state taxation, ERISA issues, commodities regulation, Blue Sky registration and SEC and state registration and reporting matters, as well as providing ongoing compliance services, including, compliance manuals and guidance, mock audits and SEC examination issues. In addition, the Firm represents fund managers and other clients on legal matters affecting small businesses generally.
Riveles Law Group advises clients on a broad range of investment management, securities law and corporate matters. We have extensive experience representing hedge, private equity and forex funds in organizing and structuring private investment vehicles in both the U.S. and off-shore jurisdictions. The firm takes a holistic approach to fund formation taking a range of variables, including investor profile, strategy focus, liquidity expectations, current and future tax and regulatory compliance issues into consideration to collaboratively work with each manager to determine optimal fund structure. We guide managers throughout the formation and offering process to ensure the complex interplay between state, SEC, CFTC, NFA and NASD requirements are properly navigated. The firm also represents investment advisers, commodity pool operators and commodity trading advisers in all aspects of their business operations including state and federal registration, formation and licensing, implementation of industry ‘best practices’ policies and procedures, on-going regulatory compliance and issues relating to the delivery of advisory services. We offer the sophistication of big firm counsel combined with the responsiveness, in-depth knowledge and continuity of a small team of attorneys focused exclusively on your business. As a boutique practice we offer our clients flat fee pricing on many of the services we provide.
The Law Office of Charles E. Hall Jr., specializes in investment management and investment company law, particularly for hedge fund managers and commodity pool operators. We work solely on a flat fee basis, so there are no hidden fees or extra charges. As a valued client, we perform your work and absorb any charges that exceed our agreement with you. We have been drafting private placement memorandums and providing legal advice for investment advisory clients since 2003. If you are seeking an affordable alternative to doing business, visit our website at www.cehalljr.com or call us at 717-258-0701
We take care to deliver the most economical and responsive representation for each client - typically performing quality legal services for approximately half the cost of other law firms. Although California-based, our client list, which spans the United States, includes hundreds of large and small investment advisers, onshore and offshore hedge fund managers and commodity pool operators. We invite you discuss our pricing and services before you settle on a more expensive legal solution.
David M. Matteson, Partner
191 N. Wacker Drive Suite 3700
Chicago, IL 60606
Phone: (312) 569-1145
Drinker Biddle is a leading national law firm and one of a select few with an active hedge fund practice, including SEC regulatory, tax, offshore funds and ERISA. For over 20 years we have counseled hedge fund managers from start up firms to nationally- and internationally-recognized investment management firms.
Monte Engler, Chair, Securities Group
666 Fifth Ave., 28th Floor
New York, NY 10103
Phone: (212) 841-0521
Within our Corporate & Business Law Department, the members of our Securities & Private Placement group have a wealth of experience, which includes domestic private investment fund formations (such as stand-alone funds and U.S. feeder funds), fund transactions (including M&A, real estate and securities transactions), as well as advising persons contemplating investing in such funds. Our attorneys also have extensive experience with public and private offerings and related securities matters, as well as tax and ERISA aspects involved in fund formation. Given our public securities background, we are also well positioned to handle the regulatory challenges facing private investment funds. Our approach focuses on handling...
Paul Scrivener, Partner
FirstCaribbean House, 3rd Floor
Grand Cayman, NA KY1-1104
Solomon Harris is regarded as one of the leading hedge fund Cayman Islands law firms, with offices in Grand Cayman and Zürich, Switzerland. The Firm’s clients include major financial institutions, public and private companies, high net worth individuals, major onshore law and accounting firms. The Firm’s reputation has been built on its quality legal service, consistent responsiveness to clients’ needs and its straightforward, commercially-focused advice. The Firm boasts a team of very experienced lawyers. The Head of its Investment Funds Group is one of the leading hedge fund lawyers in the Cayman Islands, and its combined team has extensive experience advising countless sponsors, from small entrepreneurial managers to the...
Richard S. Heller, partner
335 Madison Avenue
New York, NY 10017
Phone: 212 344 5680
Established in 1911, Thompson Hine LLP is a business law firm dedicated to providing superior client service. With 400 lawyers in eight offices, we serve premier businesses worldwide. Our Investment Management practice provides structural, transactional and regulatory advice to participants in the investment management industry. Our clients include mutual funds, investment advisers, broker-dealers, domestic and offshore hedge funds, private equity funds, fund service providers and independent directors and trustees. We help clients enter the industry, develop new products and services, expand their business through strategic planning and acquisitions, keep abreast of regulatory and industry developments, and interact with regulators.