Tannenbaum Helpern conducts a leading financial services, private investment funds and capital markets practice covering virtually every type of specialized capital formation and investment management issue. The Firm’s integrated team applies experience and insight to develop effective, innovative and practical solutions for its clients. We are counsel to numerous domestic and foreign investment advisers, collective investment vehicles and other professionals, enabling them to provide similarly effective and practical advice to their clients.
Our goal is to deliver efficient service in connection with both initial and ongoing investment structuring using U.S. and foreign entities and configurations. Our practice group effectively integrates securities, tax and commodities laws, navigating the complex regulatory framework among the Securities and Exchange Commission (SEC), Commodity Futures Trading Commission (CFTC), National Futures Association (NFA) and Financial Industry Regulatory Authority (FINRA). We pair this regulatory knowledge with deep industry insight and an understanding of relevant political developments, working cross functionally to represent clients in transactional matters, collective investments, litigation, arbitration, regulatory issues and family office solutions. We are also mindful of potential estate planning and tax considerations while structuring products for our clients.
Our Investment Management Practice’s Experience Encompasses:
Private investment funds: Structuring of domestic and overseas collective investment vehicles, hedge funds, venture capital funds, structured finance arrangements, real estate funds, funds of funds, credit funds and private equity funds.
Corporate: Merger and acquisition transactions, credit agreements, operating agreements, divestiture and seed arrangements; consolidations.
Documentation: Preparation and negotiation of private placement and other offering documentation for onshore and offshore investment funds and ancillary contracts for investment advisers, administrators, sponsors and others.
Regulatory: Registration of investment advisers, SEC audits and advice with respect to SEC, CFTC, NFA, FINRA, registrations, tax matters, private letter relief and enforcement proceedings, ERISA, broker-dealer services and various compliance services; blue sky.
Executive compensation: ERISA, employment agreements and innovative profit-sharing arrangements for executives and portfolio managers.
Trust and estates; Family offices: Estate planning and succession planning for investment principals, GRATS, private foundations, installment sales and family partnerships. Assisting family offices in establishing internal structures to be more efficient and responsive to the family’s needs while remaining in compliance with regulatory developments.
Dispute resolution: Litigation, mediation and arbitration services.
Investigations: Defense of SEC, CFTC and FINRA investigations, subpoenas and aggressive regulatory actions.
