In an increasingly complex and evolving regulatory environment, Wick Phillips’ Investment Management and Private Funds practice delivers sophisticated federal and state securities law counsel to help clients navigate challenges and seize opportunities. Our attorneys advise investment managers, private fund sponsors, institutional investors, family offices, and other sophisticated investors across a wide range of strategies – including private equity, venture capital, hedge funds, real estate, energy, digital assets, technology, aviation and more.
We combine the high-caliber experience of former SEC staff, in-house counsel at leading financial institutions, and former partners at national law firms with the responsiveness, strategic focus, and personalized service that define our practice.
Key areas of expertise include:
- Fund Formation and Structuring: Guiding sponsors in the formation, structuring, private offering and operation of domestic and offshore private investment funds, joint ventures, funds-of-one, special purpose vehicles (SPVs) and emerging investment vehicles
- Regulatory Compliance and Reporting: Advising on registration and exemption strategies, ongoing compliance programs, SEC filings (Form ADV, Form PF, Sections 13 and 16), state requirements, and efficient operational frameworks for registered, exempt reporting, and state-registered advisers in connection with private funds and separately managed accounts
- Transactional and Capital Raising Support: Counseling on adviser mergers and acquisitions, sub-adviser agreements, portfolio transactions, capital raising, fund reorganizations, preferred equity investments, fund-level financings, and strategic partnership agreements
- Securities Enforcement and Examinations: Representing clients in SEC and state investigations, regulatory examinations, enforcement actions, and compliance disputes
- Investor-Side Representation: Advising limited partners, family offices, and institutional investors on fund investments, due diligence, side letter negotiations, co-investments, and secondary transactions
With deep practical insight and a commitment to staying ahead of market and regulatory trends, we provide business-oriented solutions that enable clients to raise and deploy capital effectively, manage risk, and achieve their investment objectives.
