Private Funds

Rob Moses has experience with all types of private investment funds and managers and advisors to private funds, including the following types of private funds:

  • Hedge Funds
  • Private Equity Funds
  • Real Estate Funds
  • Venture Capital Funds

Private investment funds operate in a complex regulatory environment and it’s critical for private fund managers to have counsel advise on important issues that impact their business.  Rob has experience and can provide valuable guidance in various areas, including:

  • “Bad Actor” Policies
  • Brokerage and Portfolio Trading Practices
  • Code of Ethics
  • Compliance Manuals
  • Disclosures and SEC Filings
  • Distribution Arrangements
  • Due Diligence
  • Fund and Fund Manager Audits, Examinations and Investigations
  • Fund Enforcement Matters
  • Fund Formation (this includes drafting the numerous organizational documents necessary to form an investment fund, including a private placement memorandum, a limited partnership agreement or an operating agreement, and investor subscription agreements.
  • Fund Private Offerings (Offering Documents)
  • Fund-raising Process (this includes the preparation of offering materials, the preparation of partnership agreements, advising on and documenting management and compensation arrangements, and closing fund formation transactions)
  • Fund Regulatory Matters
  • Fund Risk management
  • Fund Written Supervisory Policies and Procedures
  • Management Issues
  • Marketing Review
  • Performance and Advertising Reviews
  • Private Fund Compliance
  • Private Fund Supervision
  • Registered Investment Advisor to Private Funds
  • Securities Matters