Private Funds: Full Service Formation and Compliance


Confusing and Complex Financial RegulationsRND Resources is experienced at developing turn-key hedge funds solutions that allow Investment Managers to quickly procure a vehicle for a wide range of investments. Whether your targeted approach is a high risk, non-liquid, or emerging growth company; or more conservative and secure publicly traded investments, or something in-between, we can help. Hedge Fund and Private Equity solution packages can incorporate the following documents and services:

  • Organization and start-up consulting for the Sponsor and/or Manager of the fund
  • Facilitate the organization of the Hedge Fund entities (i.e., Limited Partnership, Limited Liability Company and/or Corporation)
  • Provide a General Hedge Fund Reference Guide
  • Develop a Private Placement Offering Circular
  • Develop an Operating Agreement for the Limited Partnership
  • Develop a Subscription Agreement
  • Develop an Investor Purchaser Questionnaire
  • Develop a Purchaser Information Sheet
  • Prepare and file State Blue Sky Paperwork
  • Securing an exemption from registration with the Securities and Exchange Commission
  • Timely tracking of documentation through the various agency processes and
  • Provide referrals for third party providers: accounting, bookkeeping, prime brokerage services, etc.
  • Registered Investment Advisor Services

Depending on the state in which the fund manager plans to conduct business operations, registration as an Investment Advisor may be required. RND assists with Investment Adviser registration under state and federal SEC regulation. Employing our professional assistance through the process will keep  paperwork on schedule and error free. Investment Adviser Registration packages Include the following:

  • Organization and start-up counseling for the advisory firm and its principals
  • Arrange required series education and testing requirements for principals. Outsourced principal registration services are also available.
  • IARD Registration and training on IARD system. “Investment Advisor Registration Depository”
  • Preparation and filing of Client Form ADV along with applicable schedules
  • Facilitate correspondence between the SEC or state securities division(s) and the Client
  • Compliance program development as outlined by the SEC and The Compliance Program Rule (Rule 206(4)-7 of the Advisers Act)
  • Multiple State Registration
  • Blue Sky Notification and Filing Services

Our experienced professionals can also assist with Broker-Dealer Registration. Visit our Broker Dealer Services page for more information.

 

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