Fund Formation and Investment Management
Basswood is your trusted partner in achieving business goals. We provide experienced counsel on fund formation and operations across a range of strategies—including hedge funds, private equity, venture capital, real estate, and broker-dealer compliance—customized to your unique objectives and vision.
Our team has extensive experience advising on transactions within the investment management industry. Whether you are a fund sponsor, fund manager, institutional investor, or a broker-dealer, our team provides customized and sophisticated solutions tailored to meet your business needs.
We serve onshore and offshore funds following various investment strategies, in all stages of investment fund life cycles, and across a broad industry, including in energy, real property, venture, technology, and digital assets. In collaboration with our tax practice, we can provide you with comprehensive counsel in structuring tailored investment vehicles to meet your specific needs. We pride ourselves in guiding you in maneuvering the legal, regulatory, tax, transactional and commercial labyrinth of the investment space.
Our commitment to your success and growth is reflected in our innovative “stage sync” billing. Whether you are an emerging fund manager or a registered investment adviser, we work with you to devise customized, practical strategies that will meet your goals.
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Frequently Asked Questions
Do I really need a securities lawyer if I’m “just” raising a small friends-and-family round?
Yes. The moment you give someone equity (or a SAFE/convertible instrument), you’re typically issuing a security. Getting advice early helps you pick the right exemption path, align your documents with what you’re telling investors, and avoid problems that surface at the next round.
What’s the most common fundraising compliance mistake you see—and how do you fix it?
Missing a required step (like a filing) or relying on the wrong compliance approach. The fix is usually: identify what happened, confirm what requirements apply, assess whether another exemption/safe harbour fits, and then map the right disclosures and remediation steps so the company/fund can move forward cleanly.
I’m outside the US but want US investors—what do I need to think about before I start fundraising?
Start with an exemption analysis. Taking US investors can pull you into US rules depending on how you structure the offering and how you solicit investors. The right approach is to design the offering up front—who you target, how you market, what you offer, and what you disclose—so you remain compliant while accessing the capital pool.
I’m a first-time fund manager—what do I need in place before I can take accept subscriptions from investors?
Most first-time managers need an end-to-end setup: a clear strategy and target investor profile, a tax-driven structure, core formation and offering documents, and the right service providers (administrator, accountants, and baseline compliance support). You’ll also need clarity on the terms you’re offering investors because the process often slows when managers haven’t yet decided what they’re willing to negotiate. Basswood’s role is to guide you through the decisions and coordinate the moving parts so you can launch confidently.
Need guidance on fund formation or investment management?
Whether you are launching a new fund, advising investors, managing regulatory obligations, or structuring investment arrangements, Basswood Counsel can help you navigate the legal considerations with clarity and confidence.