Securities Industry

Securities Entity Formation

Formation Experience

Fox attorneys have extensive experience helping clients navigate the challenges – unique to each investment manager and fund structure – involved in the formation of hedge funds, private equity, broker-dealers, registered investment advisors and various commodities/future entities.

We assist broker-dealer and registered investment advisor clients with formation as well as business planning, regulatory and corporate compliance, reorganization, acquisition and expansion. For clients who are broker-dealers and/or registered investment advisors, we also help with all related compliance and record-keeping requirements mandated by the Securities and Exchange Commission, Financial Industry Regulatory Authority (FINRA) and Commodities Futures Trading Commission (CTFC) as well as changes implemented under the Jumpstart Our Business Startups Act of 2012 (JOBS Act).

Fox attorneys have helped create numerous funds. As a sampling, we have:

  • Represented Kazazian Capital Master Fund, L.P., an accredited investor fund with $125 million under management, on hedge fund, broker-dealer and registered investment advisor formations and transactional matters.
  • Represented Kazazian Capital Offshore Fund, Ltd., an accredited investor fund with $125 million under management, on hedge fund, broker-dealer and registered investment advisor formations and transactional matters.
  • Represented Capco Partners Qualified Fund, LP., a qualified purchaser fund with $125 million under management, on hedge fund formation and other matters.
  • Represented Brandywine Mergers & Acquisitions, LLC, an accredited investor fund with $50 million under management, on hedge fund, broker-dealer and registered investment advisor formations.
  • Represented Isis Capital Partners, LP, an accredited investor fund with $50 million under management, on hedge fund formation and other matters.
  • Represented a financial investment advisory firm, an accredited investor fund with $50 million under management, on hedge fund, broker-dealer and registered investment advisor formations.
  • Represented Spouting Rock Capital Advisors, LLC, an accredited investor fund with $50 million under management, on hedge fund, broker-dealer and registered investment advisor formations.
  • Represented Allentown Capital Partners, L.P., an accredited investor fund with $25 million under management, on hedge fund formation and other matters.
  • Represented COR North America Fund, LLC, an accredited investor fund with $25 million under management, on hedge fund formation and other matters.
  • Represented First Princeton Partners, L.P., an accredited investor fund with $25 million under management, on hedge fund, broker-dealer and registered investment advisor formations.
  • Represented Ogilvy Fund, an accredited investor fund, on hedge fund formation and other matters.
  • Represented Black Onyx Algorithmic Fund, LLC, an accredited investor fund, in registered investment advisor matters.
  • Represented Valley Forge Fund IX, an accredited investor fund, on hedge fund formation and other matters.
  • Represented AMF-Fore, LLC, an accredited investor fund, on hedge fund, broker-dealer and registered investment advisor formations.
  • Represented A+ Fund LP, an accredited investor fund, on hedge fund, broker-dealer and registered investment advisor formations.
  • Represented Kahan Capital Fund, LLC, an accredited investor fund, on hedge fund formation and other matters.