Fund Formation and Investment Management

We represent investment advisers, private investment funds, family offices and other investors in connection with all essential activities, including fund formation, transaction negotiation, regulatory compliance and securities matters. Our highly experienced team provides practical advice to guide our clients through the lifecycle of their investment management business, including structuring and launch, marketing, portfolio management, compliance, sale and windup. Our multidisciplinary team can assist our clients with all of their legal needs in connection with running and growing leading investment management businesses, including – among other things – employment arrangements, service provider agreements, credit facilities, leasing, employment arrangements and proprietary rights protection.

Fund Formation

Our fund formation attorneys, including Gardere’s investment management, tax and Employee Retirement Income Security Act (ERISA) specialists, have extensive experience structuring and forming virtually every type of alternative investment vehicle, including:

  • Hedge funds
  • Private equity funds
  • Venture funds
  • Search funds
  • Distressed debt funds
  • Real estate funds
  • Commodity funds
  • Oil and gas funds
  • Fund of funds
  • Offshore master feeder structures
  • Special purpose vehicles

Portfolio Management Activities

Our team has extensive experience guiding our clients through a variety of portfolio management transactions, including:

  • Reportable (13G/13D/13F) positions
  • Control transactions
  • Private placements, including private investment in public equity deals (PIPEs) and growth financings
  • Shareholder activism
  • Section 16 filings
  • Proxy fights

Investment Manager Transactions

Our team also has extensive experience representing both managers and investors in transactions specific to investment managers. These transactions have included:

  • Seeding of managers by family offices and other institutional investors
  • Spinouts of management teams to launch a new adviser
  • Acquisitions of registered investment advisers

Regulatory Compliance

Our financial / banking regulatory compliance related activities and programs include:

  • Investment adviser registration with the U.S. Securities and Exchange Commission (SEC)
  • Investment adviser registration with state regulators
  • Family office exceptions to regulation
  • Compliance oversight programs
  • Commodity trading advisors (CTA) and commodity pool operators (CPO) registration with the National Futures Association (NFA) and Commodity Futures Trading Commission (CFTC)
  • Mock examinations
  • SEC examinations
  • State regulator examinations
  • Exempt reporting adviser filings
  • Privacy regulations
  • Compliance training
  • Investment Company Act compliance
  • Defense of SEC enforcement actions
  • Foreign Account Tax Compliance Act (FATCA) compliance
  • Anti-Money Laundering (AML) and Patriot Act compliance

Search Tips:

You may use the wildcard symbol (*) as a root expander.  A search for "anti*" will find not only "anti", but also "anti-trust", "antique", etc.

Entering two terms together in a search field will behave as though an "OR" is being used.  For example, entering "Antique Motorcars" as a Client Name search will find results with either word in the Client Name.


AND and OR may be used in a search.  Note: they must be capitalized, e.g., "Project AND Finance." 

The + and - sign operators may be used.  The + sign indicates that the term immediately following is required, while the - sign indicates to omit results that contain that term. E.g., "+real -estate" says results must have "real" but not "estate".

To perform an exact phrase search, surround your search phrase with quotation marks.  For example, "Project Finance".

Searches are not case sensitive.

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