Category Private Equity and Hedge Funds

Private Equity and Hedge Funds

The Different Meanings of the Word “Registration” for Private Funds

Even if a private fund adviser is exempt from registration as an investment adviser, it may be subject to other federal and securities laws. This post summarizes the relevant legal issues.

Alexander J. Davie
January 31, 2019

Private Equity and Hedge Funds

The Venture Capital Adviser Exemption Explained

The venture capital adviser exemption exempts an investment adviser that solely advises venture capital funds from registration with the SEC. This article describes the conditions needed to qualify for the exemption.

Alexander J. Davie
May 31, 2018

Private Equity and Hedge Funds

Is New York’s Form 99 Required When a Rule 506 Offering Has New York Investors?

For issuers using Rule 506, New York requires Rule 506 issuers to file a state-specific form called “Form 99” with the Investor Protection Bureau before selling its securities to New York investors.

Alexander J. Davie
February 28, 2018

Private Equity and Hedge Funds

Intro to Private Equity Funds

A private equity fund is an investment entity that raises capital from investors to make investments in private companies under a specified investment strategy. This post is an introduction to what you need to know.

Alexander J. Davie
February 19, 2018

Private Equity and Hedge Funds

Using Side Letters in Private Funds

At some point, while raising capital for a private fund, you will likely be asked by one or more potential investors to enter into a side letter. Here are some practical pointers on the top issues you'll encounter.

Alexander J. Davie
November 29, 2017