Team with extensive private fund: General Counsel, Chief Compliance Officer and Chief Operating Officer Skill Set

Why Us

• We offer scalable fractional C-suite support with an economies of scale alternative by lawyers and consultants with extensive in-house experience working with the spectrum of asset manager organizations
• Across the entire forest not just the trees, we can provide executive level collaborative gap support at a high level across: General Counsel, Chief Operation Officer and Chief Compliance Officer skill set

Complex “real world” experience under one firm means cross function, cost-efficient and proactive not reactive to increase the likely-hood of success

Deep top tier expertise across the spectrum of offering structures and private fund manager organizations

• We work with the spectrum of niche to conventional strategies:
• Major SEC or NFA registered advisory to smaller exempt advisers
• We execute and form the spectrum of niche to conventional offering structures (domestic & offshore)
• Top tier (in the trenches) proactive support across the interconnected framework of building, managing and projecting safety of assets at every phase of a private fund manager’s growth-cycle.
• Increase likely-hood of business success with target investors.1
• Deep counter-party expertise and relationships. 
• Each professional with more than two decades of both major asset firm (in-house and outside law firm) experience. 
• Expertise and solutions from partners not junior associates share knowledge acquired from relationships and resources not otherwise available to a single client organization.
• Think out of the box solutions to meet the need of target investors across high net worth, family offices, fund of funds and spectrum of complex institutions.

Where we can help 

General Counsel – Private Fund Managers, Registered Investment Advisers.  Small to well established alternative asset management firms: 

• interdisciplinary team with practical business perspectives. Former in-house counsel, general counsel, and company compliance and executive officers for some of the world’s leading alternative asset management firms 
• Anticipate legal needs− and develop and implement policies, practices and strategies aligned with business objectives
• bespoke GC co-source or outsource for registered or exempt investment or commodity advisers, hedge funds or private equity firms  

  Chief Compliance Officer – Asset Manager Support 

  • Bespoke CCO co-sourced or outsourced support to registered or exempt investment or commodity trading advisers, hedge or private equity funds
  • Implement or augment benchmark to best practices compliance framework, compliance manual, policies and procedures, processes and controls
  • Enterprise wide or focused diagnostic gap analysis for SEC or investor due diligence readiness
  • Collaborative support with your team across SEC readiness, investor readiness, marketing, asset gathering and trading operations   
  • Create and assess compliance programs −aligned with your business and designed to meet company business expectations and legal requirements

  Chief Operating Officer – Asset Manager Support 

  • Bespoke COO co-sourced or outsourced for both SEC registered or exempt investment or commodity advisers,
  • Implement benchmark to best practices operational framework, policies, procedures, policies and controls
  • Reduce operational costs to create alpha
  • Counter-party set-up expertise, risk management, select best fit and cost-effective to firm strategy, AUM across prime (mini prime) brokers, custodians, administrators, auditors, etc. 

  Benefit of an optimal business operation for both exempt and registered investment firms

  • Augment productivity and cost-efficiency no matter the scope of need; 
  • Offer benefit of increasing efficiency with multi-faceted skills sets under one firm;
  • Avoid pitfalls of what you don’t know to increase likely-hood of business success; 
  • Curb compliance, legal, trading and counter-party risk; and
  • Avoid reputational risk or rejection by peer selection.
  • Business Marketing strategy –  help identify target investors and ideal offering structures
  • Strategic advice or support – do’s and don’ts to both communicate and raise assets
  • Marketing guidance on solicitation and establishing pre-existing relationships
  • Investor material guidance and review across pitch book, fact card, etc.
  • Advise on preparation of a robust AIMA or benchmark due diligence questionnaire tailored to firm to proactively manage potential due diligence red flags
  • Negotiating and entering into agreements with third-party marketers
  • Make informed decisions based on trusted legal advice− on a wide range of topics working with legal counsel who understand your business and industry
  • Serve the Board − including developing Board charters, providing guidance and support on corporate secretary and Board minutes matters, guiding on Board education and reporting

    1. Outsourcing non investment key functions is common for the hedge fund industry generally, but even more so for emerging managers as they grow their business.  See also, SEC -Acceptance and Growing Trend Toward Outsourcing  CCO and why it is not enough to simply have check the box support,2015.

    2. Red flags: top reasons an investor will veto an investment, unwillingness to provide adequate transparency, inadequate or inappropriate compliance  policies and procedures, poor separation of duties, inadequate personnel or lack or relevant experience in critical roles.

    3. The majority of studies show the higher failure for [newer Firms] compared to established Firms is often due to business mistakes rather than investment issues.