Investment Management Practice

Investment Management Practice

Tarter Krinsky & Drogin’s Investment Management practice serves clients in a broad spectrum of investment management services, including registered investment advisers, domestic and offshore private investment funds and broker-dealers.

Investment Advisors

Our Investment Management practice combines a breadth of knowledge across multiple statutes and regulations, principally the Investment Advisers Act, with the industry experience to give advisers and fund managers timely guidance and assistance. We guide our investment management clients on all aspects of organization, operational and compliance matters, such as:

  • creating the investment adviser structure, including entity formation, personnel issues, and investment adviser registration and exempt reporting adviser requirements
  • establishing the investment advisory relationship, including investment advisory agreements, advertising and solicitation matters, compensation and performance fee issues, and custody matters
  • maintaining the investment advisory operations, including compliance policies and procedures, trading policies, client privacy procedures and SEC inspections and investigations

Private Funds

We structure, form and document domestic and offshore hedge funds and other "exempt" pooled investment vehicles and private equity funds. Our lawyers’ fund experience covers many industries and asset-classes, including hedge funds, private equity funds, real estate funds, film and movie funds and tax-advantaged funds, such as qualified opportunity zone funds. Among the services we provide are:

  • developing fund terms and structure
  • fund formation and documentation
  • assisting with federal and state compliance matters
  • portfolio valuation considerations
  • activist strategies for public company investors
  • governance advice when board representation or observation rights are operative
  • restructuring public and private distressed companies
  • general counsel support on relationships with key fund investors and counterparties, including prime brokers

Broker-Dealers

We represent broker-dealers in all aspects of their operations. We counsel clients with respect to SEC, FINRA and state securities law compliance. We also represent broker-dealers in regulatory examinations and on-site audits, prepare federal and state securities filings and help broker-dealers stay current in their operational and supervisory systems. Among the services we provide are:

  • reviewing and negotiating clearing, prime brokerage and other agreements
  • preparing Written Supervisory Procedures
  • helping clients comply with new regulatory enactments
  • preparing FINRA continuing membership applications (“CMA’s”) and changes to FINRA membership agreements
  • working with foreign broker-dealers who operate in the U.S. under “chaperone” agreements
  • advising on hiring and terminating employees including issues related to Form U-5 disclosures
  • advising broker-dealers regarding investment banking activities
  • providing advice on sales practice regulations
  • assisting start-up broker-dealers with New Membership Applications
  • defending broker-dealers and their associated persons in arbitrations and in SEC and FINRA disciplinary matters

Investors and Family Office Support

Our Investment Management lawyers represent family offices in connection with the formation of single and multi-family offices and the evaluation, negotiation, execution and post-closing monitoring of investments in private equity and venture capital investments, real estate development and other alternative investment vehicles. Our lawyers provide sophisticated legal services to family offices including:

  • reviewing and assisting in portfolio investments in private equity, venture capital and private placement transactions
  • acting as owner's or investor's representative in management of portfolio positions
  • tax planning and advising on wealth preservation issues
  • the formation and administration of complex trusts and estates
  • advising on intergenerational wealth management planning and related business management considerations
  • advising family offices on their day to day operations and compliance obligations

Name Title Direct Dial Vcard
Ben-Ami, Andrew R. Partner and Chair of Tax Practice Partner and Chair of Tax Practice 212.216.8025 VCard
Gaynor, Alan S. Partner Partner 212.216.1136 VCard
Greenberg, Lester A. Counsel Counsel 212.216.8033 VCard
Heim, Robert G. Partner Partner 212.216.1131 VCard
Molinari, Guy Partner and Chair of Corporate and Securities Group Partner and Chair of Corporate and Securities Group 212.216.1188 VCard
Rudolph, Elishama A. Associate Associate 212.216.1145 VCard
Smith, James G. Partner Partner 212.216.8060 VCard

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