Investment Funds

Overview

The Investment Funds team provides fund formation, regulatory, securities and litigation services to a robust group of established and emerging hedge funds, private equity funds, venture capitalists and private real estate firms.

While an unprecedented amount of money is flowing into private investment funds, competition in the industry is at an all-time high. Established funds struggle to find scaled investments that still generate significant alpha, while emerging managers may have identified exceptional investment opportunities but are unable to quickly raise the funds necessary to make those investments. And few managers have the resources to stay current on all the regulatory issues affecting their firm and their investments. That is where we come in.

BakerHostetler’s Investment Funds team takes an individualized approach to help clients navigate these issues. First, we listen. Before we can provide the best solutions, we need to understand what is important to our clients and what they hope to achieve. Then we assemble a core team dedicated to each specific fund. Clients never get handed off to new lawyers who are not educated on their unique fund needs. Finally, we craft and implement a strategy to help each client achieve its specific goals in a way that is effective, efficient and consistent with the client’s core values. Throughout the engagement, we put our firm’s resources to work for our clients, keeping them up to date on legal and compliance issues that might impact how they operate their funds.

Our team is multidisciplinary. We constantly collaborate with our industry-focused colleagues. Clients benefit from the experience of our full-time fund lawyers as well as other lawyers across the firm who can provide valuable industry insights into blockchain, artificial intelligence, data privacy and cybersecurity, energy, healthcare, real estate and food and drug investments.

Select Experience

  • Forming fund for a venture capital firm focused on investments in companies utilizing blockchain technology.
  • Formed a hedge fund that invests across a number of asset classes for a diversified asset manager.
  • Assisting numerous diverse private fund managers (private equity, hedge fund, venture and private real estate) in gaining access to pension fund and corporate emerging managers programs by obtaining certification as women- and minority-owned businesses.
  • Provided state and federal regulatory due diligence on healthcare transactions for a private equity firm with $1 billion AUM.
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Professionals

Name Title Office Email
Associate New York
Partner Atlanta
Associate Columbus
Associate New York
Counsel New York
Partner Cleveland
Partner Houston
Partner Atlanta
Partner New York
Partner New York
Partner Costa Mesa
Partner Atlanta
Partner Atlanta
Partner New York
Partner Atlanta
Associate New York
Associate New York
Associate New York
Partner New York
Counsel New York
Partner New York
Partner New York
Partner New York
Associate Columbus
Partner Seattle
Counsel New York
Partner Cleveland
Associate Atlanta
Counsel Columbus
Partner New York
Associate New York
Partner Atlanta
Associate Atlanta
Partner New York
Partner New York
Associate New York
Associate New York
Associate New York
Counsel Atlanta
Associate New York
Partner New York
Associate Atlanta
Associate New York
Partner Washington, D.C.
Staff Attorney New York
Partner New York
Partner Cleveland
Partner New York
Partner Chicago
Associate New York
Partner Columbus
Partner Atlanta

Experience

  • Forming fund for a venture capital firm focused on investments in companies utilizing blockchain technology.
  • Formed a hedge fund that invests across a number of asset classes for a diversified asset manager.
  • Assisting numerous diverse private fund managers (private equity, hedge fund, venture and private real estate) in gaining access to pension fund and corporate emerging managers programs by obtaining certification as women- and minority-owned businesses.
  • Provided state and federal regulatory due diligence on healthcare transactions for a private equity firm with $1 billion AUM.
  • Served as lead regulatory counsel on the acquisition of an FDA-registered 503B outsourcing facility, including conducting all regulatory diligence and obtaining approval of the Boards of Pharmacy in all 50 states and the District of Columbia, for a $400 million asset manager.
  • Prepared policies and procedures and performed risk assessments for numerous private fund managers, ensuring compliance with federal privacy and security laws as well as preparedness for potential breaches.
  • Represented a managing director who oversaw a $350 billion portfolio invested in multiple strategies through numerous domestic and foreign investigations, including securing a rare non-prosection agreement from the Justice Department.
  • Served as receiver of a complex family of hedge funds managing over $300 million in capital, including directing the management and liquidation of more than a dozen private equity investments and other financial assets of the receivership.
  • On behalf of a private equity fund, defended a portfolio company against a breach of contract action brought by a third-party investor. Negotiated a complex settlement involving multiple regulators that saved the portfolio company from bankruptcy.
  • Defended a founder of a $200 million private real estate fund in an SEC enforcement action arising out of a dispute over who was responsible for certain fee payments.
  • Represented an international fund manager in a multijurisdictional criminal insider trading investigation.
  • Representing a hedge fund manager in trade secrets litigation arising out of a co-work arrangement with another hedge fund.
  • Represented numerous companies in arbitration over working capital adjustments arising out of private equity deals.

Publications

Key Contacts