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Our team has extensive knowledge in the organization of private funds and representation of asset managers.

Our lawyers’ experience spans virtually every type of private fund and alternative investment vehicle pursuing a broad range of investment strategies across different asset classes, geographies and market cycles, including, among others, buyout funds, real estate funds, energy and infrastructure funds, debt funds, distressed investment and special situations funds, venture capital funds, funds-of-funds and secondaries funds.

We utilize a cross-disciplinary approach, working closely with members of our other practice groups to develop effective and innovative solutions for our clients’ legal, regulatory, tax and other concerns. We tailor our advice to address individual client needs and reflect the evolving demands of the marketplace, both at inception and throughout the life cycle of the fund. Our team approach allows us to provide our asset management clients with seamless service in areas including regulatory and compliance matters, tax structuring and planning, SEC examinations and enforcement, internal governance, compensation and succession arrangements and fund restructurings.

Sponsors and Advisers

We represent a diverse range of fund sponsors in connection with their fund formation activity and the day-to-day operation and management of their funds, advising them on current market conditions, deal terms and recent industry developments.

We provide clients with ongoing operational, regulatory, compliance and investor relations advice. This also extends to investment structuring, co-investments, seeding arrangements, financings and leverage facilities, transfers, defaults, employment matters, spin-outs and succession issues.

Distributors

We represent distributors, including leading wealth management and private banking institutions, in connection with the placement of securities issued by related and third-party sponsored funds, whether through direct distributions, or the creation of feeder structures, linked products and other platforms, which provide their customers with access to private funds.

Investors

Our clients include a variety of investors, including sovereign wealth funds, domestic and foreign pension plans, family offices and high net worth individuals, in connection with their investments in various domestic and offshore private funds. In addition, we negotiate direct investments, separate accounts, co-investments and other arrangements on their behalf.

Executive Compensation, Carried Interest and Wealth Transfer

We advise asset management firms and individual investment professionals on their compensation and related profit-sharing arrangements, including the structuring and formation of carried interest plans for participants located in various jurisdictions around the globe. We also counsel fund managers in connection with their estate planning and other wealth transfer strategies.

Regulatory and Compliance

Our lawyers offer significant knowledge in regulatory and compliance matters and provide ongoing general and matter-specific advice with regard to corporate, securities, derivatives, tax, ERISA and banking rules and regulations, including the Investment Advisers Act and the Volcker Rule. We also assist our clients with all aspects of their compliance programs and SEC examination and enforcement matters. Our team provides advice in connection with contractual obligations, such as non-solicitation agreements. We represent trade and industry associations and regularly interface with regulatory agencies on behalf of our clients.

Attorneys

John J. Sottile

Law School Graduate

New York

212-806-1330

jsottile@stroock.com

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