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Case Studies

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Case Studies

We assist investment management clients throughout the growth and development of their professional advisory businesses. Although our engagements vary in scope, from one client to the next, we have provided the case studies below to highlight several actual projects we have recently completed. We invite you to schedule a complimentary consultation to discuss how we might assist you in reaching your goals.

Delivered Turnkey Solution to Emerging Hedge Fund Manager

Advised regarding the fund’s structure and domicile, fee and liquidity characteristics, and other startup considerations. Assisted client in selecting fundamental service providers, including prime broker, administrator, auditor, and custodian. Drafted offering memorandum, governance documents, subscription booklet and other critical legal documents. Made valuable marketing introductions and provided practical guidance on private placement selling and advertising restrictions.

Structured Real Estate Fund for Experienced Property Management Group

Developed client’s first real estate fund based on asset-by-asset and capital call structure. Enabled client to leverage existing franchise to raise significant new capital. Made key introductions to other industry specialists as sources of new deal flow. Designed fee structure to share income and gains between manager and investors in order to align incentives.

Managed NFA Registration Process for Newly Formed Commodity Pool Operator

Registered principals and sales staff with National Futures Association and Commodity Futures Trading Commission. Drafted Disclosure Document and Statement of Additional Information which were approved for use by NFA. Reviewed pitchbook and other marketing materials, adding required disclaimers. Advised regarding permissible compensation structures and other regulations affecting selling agents.

Developed Incubator Fund Structure for 5-Star Morningstar Manager

Organized incubator fund platform for 5-Star Morningstar fund manager to develop marketable, long/short track record. Advised on issues related to accepting IRA investments into incubator hedge fund. Assisted in development of pitchbook for client to solicit indications of interest from prospective investors ahead of full launch.

Negotiated and Drafted Third-Party Selling Agreement for Private Fund Sponsor

Advised client on regulatory restrictions related to marketing private investment partnership through third-party placement agents. Negotiated key deal-points with selling agent’s counsel. Drafted comprehensive selling agreement with innovative provisions to reward agent’s success and maintain maximum flexibility for manager.


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