Investment Management

Overview

ECOHEDGE™ Legal Services

Tannenbaum Helpern has launched ECOHEDGE™ to advise investment management firms on an array of legal matters that are specific to ecologically sensitive investments, from regulatory compliance to a myriad of government incentives available for green investments.

Learn More

Tannenbaum Helpern’s Investment Management practice is internationally known for its boutique nature and ability to provide extremely knowledgeable and cost-effective advice to clients in all areas of the investment management industry. Our clients include venture capital, private equity and hedge funds, independent investment advisors and wealth management firms, family offices and broker-dealers. Our fund clients sponsor a wide variety of products, including products focused on Real Estate, Credit, ESG/Impact, Blockchain and Cannabis-dedicated investments.

Our practice is truly multi-disciplinary in nature, providing guidance with respect to federal and state securities laws, corporate and partnership regulations, tax, ERISA, intellectual property, employment, and dispute resolution. Combining our knowledge of relevant laws and regulation, industry practice and our clients’ goals, we advise on a wide variety of transactional and commercial matters, litigation, arbitration and regulatory investigations as well as with respect to estate planning.

Representative Services

  • Formation and ongoing representation of U.S. and non-U.S. collective investment vehicles for transactions involving investments in equity, debt, real estate and other assets. Representative fund structures include master-feeder, mini-master and side by side funds, umbrella funds, funds of funds, funds of managed accounts, and special purpose vehicles (including co-investment vehicles). Fund types include rated products, registered funds and funds exempt from registration under Rules 3(c)(1), 3(c)(5) and 3(c)(7) of the Investment Company Act of 1940, as amended.
  • Coordination with non-U.S. counsel in connection with the establishment and structuring of non-U.S. domiciled platforms and entities in various Caribbean and European jurisdictions, and stock exchange listings in Ireland, Luxembourg and elsewhere.
  • Preparing constituent documents, private placement offering memoranda, subscription documents and ancillary contracts for sponsors, investment advisors, investment companies, CTAs and CPOs, administrators, broker-dealers, custodians and placement agents.
  • Structuring financing arrangements, including joint lending, loan participation and securitization transactions.
  • Reviewing websites, marketing and advertising materials and programs.
  • Assisting with SEC, CFTC, NFA, and FINRA registrations, private letter relief and enforcement proceedings, broker-dealer services, investment advisor and investment company services, and ongoing federal and state securities law compliance.

Representative Clients

  • Private equity, venture capital and hedge funds
  • Investment advisers, sub-advisers, family offices, fund sponsors and wealth managers
  • Tax exempt organizations (foundations, endowments and non-profits), brokerage firms, administrators and custodians
  • Commodity trading advisors and commodity pool operators
  • Funds of funds and funds of managed accounts
  • Seed and acceleration investors
  • Investment banks and commercial banking institutions
  • Funds seeking to market within the European Union requiring advice regarding AIFMD and available stock exchange listings in Dublin, Luxembourg and elsewhere

Publications

Investment Management

ECOHEDGE™ Legal Services

Tannenbaum Helpern has launched ECOHEDGE™ to advise investment management firms on an array of legal matters that are specific to ecologically sensitive investments, from regulatory compliance to a myriad of government incentives available for green investments.

Learn More

Tannenbaum Helpern’s Investment Management practice is internationally known for its boutique nature and ability to provide extremely knowledgeable and cost-effective advice to clients in all areas of the investment management industry. Our clients include venture capital, private equity and hedge funds, independent investment advisors and wealth management firms, family offices and broker-dealers. Our fund clients sponsor a wide variety of products, including products focused on Real Estate, Credit, ESG/Impact, Blockchain and Cannabis-dedicated investments.

Our practice is truly multi-disciplinary in nature, providing guidance with respect to federal and state securities laws, corporate and partnership regulations, tax, ERISA, intellectual property, employment, and dispute resolution. Combining our knowledge of relevant laws and regulation, industry practice and our clients’ goals, we advise on a wide variety of transactional and commercial matters, litigation, arbitration and regulatory investigations as well as with respect to estate planning.

Representative Services

  • Formation and ongoing representation of U.S. and non-U.S. collective investment vehicles for transactions involving investments in equity, debt, real estate and other assets. Representative fund structures include master-feeder, mini-master and side by side funds, umbrella funds, funds of funds, funds of managed accounts, and special purpose vehicles (including co-investment vehicles). Fund types include rated products, registered funds and funds exempt from registration under Rules 3(c)(1), 3(c)(5) and 3(c)(7) of the Investment Company Act of 1940, as amended.
  • Coordination with non-U.S. counsel in connection with the establishment and structuring of non-U.S. domiciled platforms and entities in various Caribbean and European jurisdictions, and stock exchange listings in Ireland, Luxembourg and elsewhere.
  • Preparing constituent documents, private placement offering memoranda, subscription documents and ancillary contracts for sponsors, investment advisors, investment companies, CTAs and CPOs, administrators, broker-dealers, custodians and placement agents.
  • Structuring financing arrangements, including joint lending, loan participation and securitization transactions.
  • Reviewing websites, marketing and advertising materials and programs.
  • Assisting with SEC, CFTC, NFA, and FINRA registrations, private letter relief and enforcement proceedings, broker-dealer services, investment advisor and investment company services, and ongoing federal and state securities law compliance.

Representative Clients

  • Private equity, venture capital and hedge funds
  • Investment advisers, sub-advisers, family offices, fund sponsors and wealth managers
  • Tax exempt organizations (foundations, endowments and non-profits), brokerage firms, administrators and custodians
  • Commodity trading advisors and commodity pool operators
  • Funds of funds and funds of managed accounts
  • Seed and acceleration investors
  • Investment banks and commercial banking institutions
  • Funds seeking to market within the European Union requiring advice regarding AIFMD and available stock exchange listings in Dublin, Luxembourg and elsewhere
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