Securities Law for Funds, Issuers & Investment Advisers
Navigate complex regulations with confidence. We help you structure compliant offerings and build investor-ready operations.
Securities Law Is Nuanced
Raising capital or managing investments comes with significant regulatory obligations. Getting it wrong can mean enforcement actions, rescission rights, or worse.
Common Challenges
- — What exemption should I use for my offering?
- — Do I need to register as an investment adviser?
- — What disclosures do I need for investors?
- — How do I structure my fund?
- — What are my ongoing compliance obligations?
Comprehensive Securities Counsel
Private Fund Formation
Structure and launch hedge funds, private equity funds, venture funds, crypto funds, and real estate funds.
Regulation D Offerings
Structure private placements under Rule 506(b) or 506(c). We prepare the PPM and subscription agreements.
Investment Adviser Matters
Determine whether you need to register with the SEC or state regulators. We help with registration filings and ADV preparation.
Ongoing Compliance
Maintain your regulatory obligations with periodic filings, investor communications, and compliance policies.
Investor Documentation
Draft and negotiate the legal documents that govern your investor relationships—subscription agreements and side letters.
We Work With
Frequently Asked Questions
What's the difference between 506(b) and 506(c)?
506(b) prohibits general solicitation. 506(c) permits general solicitation but requires all investors to be accredited and verified.
Do I need to register my fund?
Most private funds rely on exemptions from Investment Company Act registration. The analysis depends on your structure and investor base.
When do I need to register as an investment adviser?
If you're providing advice for compensation, you likely need to register—either with the SEC or your state.
Ready to Discuss Your Offering or Fund?
Ask us anything and we'll see if we can help. If not, we'll point you in the right direction.