CONTACT SEARCH About Us Attorneys Practice Areas News & Insights Careers share print pdf Investment Funds & Advisers Our Investment Funds & Advisers Group is a nationally recognized leader in the following areas: Hedge Funds Commodity Pools Offshore Funds Private Equity Funds Venture Capital Funds Hybrid Funds Private Real Estate Funds Investment Adviser Registration and Counseling Our firm represents several hundred investment advisers and investment fund managers. We have been recognized by industry publications as one of the top hedge fund practices in the world. We seek the most economical and effective representation for each client, taking care to avoid overstaffing and to focus on procedures that effectively meet the client’s objectives. Our extensive experience in representing investment advisers and private investment funds affords us significant economies of scale and the background to respond to most legal issues without time-consuming and costly research and analysis. To keep our investment adviser clients current on regulatory developments and pronouncements (in part by frequent memoranda and notices), we continuously monitor state and federal regulatory developments. Our awareness of the regulatory climate permits us to keep our clients advised of ways in which their businesses can be operated most efficiently, economically and with minimum distraction from portfolio management. Our representation of investment advisers encompasses all aspects of their businesses, including initial organization, capitalization, employee incentive arrangements, trade name protection, licensing, on-going regulatory compliance (both federal and state), contract negotiation and forms for retail and institutional investors, custodians and broker-dealers, and organization and operation of hedge funds and other investment funds. Those activities necessitate comprehensive expertise in the complex and evolving requirements of the Investment Advisers Act of 1940, the Investment Company Act of 1940, the Securities Exchange Act of 1934, the Securities Act of 1933, the Commodity Exchange Act, the Internal Revenue Code of 1986 and other relevant federal laws, and the volumes of rules and regulations of the Securities and Exchange Commission, Commodity Futures Trading Commission, Financial Industry Regulatory Authority, Internal Revenue Service and Department of Labor, as well as myriad comparable (but differing) requirements of state laws and regulations. The breadth and depth of our experience provide the background to coordinate the various legal requirements, and to guide our clients through the labyrinth of competing or conflicting rules. Our Securities Enforcement Defense Group, which includes former SEC lawyers, represents public companies, investment advisers, broker-dealers and other financial services professionals, investors and company insiders in regulatory and civil investigations and proceedings of all types. REPRESENTATIVE CLIENTS ATTORNEYS Alkeon Capital Management, LLC Aquilo Capital Management, LLC Churchill Management Group ClariVest Asset Management, LLC Colchis Capital Management, L.P. Community Investment Management, LLC The Cypress Funds LLC EcoR1 Capital, LLC Falcon Point Capital, LLC Grandeur Peak Global Advisors, LLC McKinley Capital Management, Inc. MRA Associates Palo Alto Investors LP Park Presidio Capital LLC Prana Investments, Inc. Smithwood Advisers, L.P. Snyder Capital Management, L.P. SQN Investors LP Stonepine Capital Management, LLC Universa Investments L.P. Valiant Capital Management, L.P. RELATED PRACTICES Real Estate Fund Formation INVESTMENT FUNDS & ADVISERS INSIGHTS 10.5.21 / JAHAN P. RAISSI THE SEC BRINGS AN “ALT DATA” ENFORCEMENT CASE Read More Twitter Linkedin © 2021 Shartsis Friese LLP One Maritime Plaza, Eighteenth Floor, San Francisco, CA 94111 Phone: (415) 421-6500 Fax: (415) 421-2922 About Us Attorneys Practice Areas News & Insights Careers Contact Disclaimer Privacy Policy Cookie Policy