Legal and Compliance Services for Fund Managers
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- WHO WE SERVE
Fund managers oversee complex investment vehicles that require rigorous legal structuring and compliance oversight. Whether managing a hedge fund, private equity fund, venture capital fund, or SPV, managers face heightened SEC scrutiny, fiduciary duties, and investor disclosure requirements. LawVisory PLLC provides confidential, attorney-client privileged legal and compliance services to help fund managers launch, operate, and defend their investment strategies while meeting all regulatory obligations.
What Legal and Compliance Challenges Do Fund Managers Face?
Fund managers must navigate a sophisticated regulatory landscape, including:
Fund formation and structuring (LLCs, LPs, offshore entities)
Preparing and filing Form ADV and Form PF (private fund reporting)
Offering documents and investor disclosures (PPMs, subscription agreements)
Compliance with Investment Advisers Act of 1940 fiduciary duties
Designing and maintaining policies and procedures manuals
AML/KYC obligations under FinCEN rules
Marketing and Regulation D private placement compliance
Handling SEC exams, deficiency letters, and enforcement actions
Managing conflicts of interest and valuation policies
How Does LawVisory Support Fund Managers?
LawVisory attorneys provide end-to-end compliance and legal support tailored to fund managers:
Fund Formation & Structuring
- Advising on entity choice and domicile (U.S. and offshore)
- Drafting LLC agreements, LP agreements, and PPMs
- Structuring SPVs, master-feeder, and fund-of-funds arrangements
SEC Registration & Reporting
- Determining whether SEC registration or ERA status applies
- Preparing and filing Form ADV for advisers and Form PF for private funds
- Monitoring compliance with AUM thresholds
Ongoing Compliance
- Compliance calendars and annual reviews
- Written supervisory and compliance procedures
- Valuation, custody, and conflict-of-interest policies
Outsourced General Counsel & CCO
- Serving as General Counsel or Chief Compliance Officer
- Supervising compliance programs and investor disclosures
- Providing independent oversight and fiduciary risk management
Enforcement & Dispute Resolution
- Responding to SEC enforcement actions and examinations
- Representing fund managers in arbitration, litigation, and investor disputes
- Defending against breach-of-duty and misrepresentation claims
What Happens if Fund Managers Fail to Comply with SEC Rules?
Non-compliance exposes fund managers to significant risks:
- SEC enforcement actions, fines, and censures
- Loss of Exempt Reporting Adviser (ERA) status
- Investor lawsuits for fiduciary breaches
- Inability to raise capital from institutional investors
- Damage to reputation and capital formation
LawVisory helps mitigate these risks through proactive compliance and experienced legal defense.
Why LawVisory?
- 26+ years of securities and investment fund experience
- Counsel to hedge funds, private equity funds, VC funds, and SPVs
- Extensive experience with fund formation, SEC filings, and compliance defense
- Leadership as outsourced CLO and CCO for fund managers worldwide
Contact Us
+1 202-854-0515
info@lawvisory.com
1250 Connecticut Ave NW #700, Washington, DC 20036
What forms do fund managers need to file with the SEC?
What is the difference between SEC registration and Exempt Reporting Adviser (ERA) status?
How does the SEC define a private fund?
Do fund managers need AML programs?
Can LawVisory help with drafting fund offering documents?
Launching or managing a private fund?
Schedule a confidential consultation with LawVisory’s attorneys today to protect your firm and your investors.