Buchalter’s Fund Investment Management Practice is one of the strongest practices on the West Coast. Our attorneys have substantial experience organizing and advising hedge funds, private equity funds, venture capital funds, real estate funds, debt funds, funds of funds, and other private investment vehicles, raising funds worldwide that range from less than $20 million to over $10 billion. We advise on the broad spectrum of legal, tax and compliance issues facing funds and advisers, including federal and state securities laws and regulations, the Investment Company Act of 1940, the Investment Advisers Act of 1940 and the Employee Retirement Income Security Act (ERISA). A significant portion of our practice involves international funds and cross-border transactions.
Our range of experience includes:
- Investment adviser registration
- Fund formation, structuring and regulatory requirements; private placement exemptions
- Fund marketing and advertising
- Employee ownership, compensation, and incentive arrangements
- Retail and institutional advisory client relationships
- Implementation and documentation of compliance policies and procedures
- Client agreements, disclosures, fee arrangements, and solicitors agreements
- Recordkeeping and custody
- Reporting requirements (Schedules 13D and 13G, Section 16, Form 13F)
- ERISA provisions
- Brokerage, new issue allocations and soft dollar arrangements
- Partnership and limited liability company counsel
- Insider trading procedures and codes of ethics
- SEC inspections
- Venture capital financing
- Offshore funds, master feeder and side-by-side funds
- Anti-money laundering programs
- Tax treatment and accounting concerns
For investment management and investment fund clients, our legal counsel in global financial markets encompasses a variety of securities, commodity futures, synthetic securities, forward and swap contracts, options, warrants, and other derivative securities.
Representative Matters
- Represented Bloom Nutrition, a brand of energy drinks and health and wellness supplements sold nationwide, in its expanded partnership with Nutrabolt
- Represented The Scribner Team, a wealth management with over $111 million of assets under management, in its sale to Wealth Enhancement Group
- Represented Prio Wealth, an established wealth management firm with approximately $4 billion of client assets, in its sale to Cerity Partners
- Represented Bellingham Capital Management in a strategic transaction with an establish wealth management firm with approximately $9 billion of assets under management.
- Represented Bloom Nutrition, a leading provider of greens and superfoods, in its investment by Nutrabolt
- Advised Japanese conglomerate in acquisition of U.S. entity focused on large-scale landscape and design
- Advised cosmetic OEM manufacturer in sale to strategic buyer
- Represented Turbo Wholesale Tires, a national and international tire supplier of proprietary and third party brands, in its strategic investment by Kingswood Capital Management, LP
- Represented Lamps Plus, Inc., an omnichannel retailer of lighting, ceiling fans and other home furnishing products, in its strategic investment by Nexus Capital Management LP
- Represented 360 Sweater LLC, a ready-to-wear women’s apparel business, in its sale to an equity fund
- Represented Inspire Fitness, a leader in state-of-the-art fitness equipment, in its sale to HighPost Capital
- Represented Mad Engine, LLC in Its Sale to Platinum Equity
- Represented a private company engaged in providing software, consulting and care management services to healthcare professionals (with emphasis on telemedicine and remote patient services) in its reorganization and subsequent Series A Financing
- Represented H5, an industry leader in eDiscovery and intelligent data management, in its auction and sale to Lighthouse Technologies
- Represented a private company in the sale of its equity interests in a land holding company and solar energy development facility to a renewable energy company headquartered in Madrid
- Represented a privately held company that provides finance and insurance products in its sale to a publicly traded company
