Build Strong Foundations for Your Fund
Investment Fund Counsel in the Washington, DC and New York City Metropolitan Areas
SBI Counsel provides comprehensive legal services for investment fund formation, special purpose vehicle (SPV) formation, including governance, and compliance. We have extensive experience with the SBA's Small Business Investment Company (SBIC) program, private equity funds, advising venture capital funds, hedge funds, and SMB investors encompassing independent sponsors, search funds, and micro-cap private equity.
Schedule a consultation to discuss investment fund strategy and formation in the Washington, DC or New York Metropolitan Areas.
Build Your Investment Fund
Schedule a consultation to discuss your investment fund needs. Our experienced team will guide you through formation, compliance, and ongoing governance requirements.
Complete our questionnaire and receive a personalized consultation
Fund Formation
Comprehensive fund structuring and formation services for SBICs, private equity, SPVs, venture capital, and hedge funds
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SBIC Formation
- SBIC application preparation and submission
- Management assessment materials
- Leverage commitment documentation
- SBA licensing negotiations
- Post-licensing compliance setup
Private Equity Funds
- Fund structuring and entity formation
- Special Purpose Vehicle (SPV) formation and syndications
- Limited Partnership Agreements
- Limited Liability Company Agreements
- Investment Management Agreements
- Summary of Term negotiation
- Private Placement Memoranda
- Subscription agreements and side letters
- Fund governance documentation
Venture Capital Funds
- VC fund structure optimization
- Regulatory compliance (Form D, Blue Sky)
- Capital call and distribution procedures
- Co-investment vehicle formation
- QSBS and tax optimization strategies
Hedge Funds
- Investment management agreements
- Hedge fund formation and registration
- SEC and CFTC compliance
- Prime brokerage agreements
- Performance fee structures
Governance
Advisory committee formation, LP relations management, and management company governance structures
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Advisory Committees
- Advisory committee formation and charters
- Conflict of interest policies
- Valuation committee procedures
- Meeting protocols and documentation
- Member appointment and removal procedures
LP Relations
- Limited partner agreement negotiations
- LP advisory committee communications
- Amendment and consent procedures
- Transfer and assignment restrictions
- LPAC meeting management
Management Company Governance
- Operating agreement drafting
- Governance structure design
- Succession planning documentation
- Key person provisions
- Management company restructuring
Compliance
SBA compliance, securities regulatory compliance, and comprehensive regulatory reporting services
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SBA Compliance
- SBA Form 468 quarterly reporting
- Leverage usage compliance
- Portfolio company eligibility reviews
- Change of control notifications
- SBA examination support
Securities Compliance
- Investment Advisers Act compliance
- Form ADV preparation and updates
- Custody rule compliance
- Marketing rule compliance
- Books and records requirements
Regulatory Reporting
- Form PF reporting
- FINRA and SEC filings
- State securities compliance
- AML and KYC procedures
- Regulatory examination responses
Portfolio Management
Investment documentation, portfolio company support, and strategic exit planning services
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Investment Documentation
- Term sheets and investment agreements
- Convertible note and SAFE documentation
- Preferred stock purchase agreements
- Shareholder and voting agreements
- Board observation rights
Portfolio Company Support
- Corporate governance assistance
- Follow-on investment structuring
- Refinancing and restructuring
- Strategic transaction advisory
- Board representation agreements
Exit Strategies
- M&A transaction support
- IPO readiness and preparation
- Secondary sale negotiations
- Liquidation and wind-down procedures
- Distribution waterfall calculations
How Our Process Works
Your engagement begins with an assessment of investment strategy, investor profile, and operational structure. We identify the appropriate fund vehicle and deliver a clear roadmap covering formation steps, compliance milestones, and documentation requirements.
SBI Counsel prepares private placement memoranda, partnership agreements, subscription documents, and compliance policies carefully tailored to protect both operators and investors. We also coordinate with administrators and service providers to support a smooth fund launch across DC, New York, and neighboring jurisdictions
Key Details Fund Managers Ask About
Fund managers across Washington, DC, New York City, and the surrounding regions frequently ask about timelines, regulatory filings, and investor communication best practices. These questions help clarify expectations and ensure you remain compliant and prepared throughout the fund lifecycle.
How long does fund formation take?
Most funds form within four to twelve weeks, depending on complexity and regulatory requirements.
What filings are required?
Typically Form D filings with the SEC and applicable state blue sky filings.
Do you support multi-state funds?
Yes. We advise funds operating across Washington, DC, New York, New Jersey, Virginia, Maryland, California, and surrounding markets.
What documents do you prepare?
PPMs, subscription agreements, partnership or operating agreements, and side letters.
Do you provide ongoing compliance support?
Yes. We assist with ongoing filings, investor reporting, and regulatory updates.
Successful investment funds depend on careful planning, thorough documentation, and regulatory awareness. With insight into Washington, DC, New York, New Jersey, California, and surrounding areas, SBI Counsel helps fund managers launch and operate with confidence.
