Investment Advisers, Private Investment Funds and Broker-Dealers

Ms. Mattick has been engaged in the following transactions, among others, within the last five years:

  • Creation and structuring of two new adviser/fund organizations for clients new to investment management and desiring to combine assets to invest in local opportunities. These transactions include: registration or exemption from state adviser regulation, choice of entity for the fund, determination to use a public-facing or private offering process, drafting the documents and making the filings to make a new adviser to a new fund happen. 
  • Work with a registered investment adviser and its Chief Compliance Officer on an on-going basis to put in place adequate controls and directives to employees and vendors to create compliance with obligations of investment advisers and funds; Work to seek compliance with the custody rule, soft dollar limitations and performance fee rule. Currently, the adviser has $923 million under management. 
  • Continuing work with the same investment advisor sponsor to create a private fund complex as a vehicle to manage other portfolios, to include formation of the non-registered fund, the private placement for investors in the fund, negotiation of the administrative services, prime broker and custodian agreements, and on-going compliance issues.
  • Work to form a registered investment adviser, create an evergreen private placement memorandum for several different funds, create new funds for new investor groups, create sub funds for sub-managers, create side pocket agreements and act as the adviser’s Chief Compliance Officer on an on-going basis for funds currently having $300 million under management.
  • Work with a financial services client to create a debt instrument and trust indenture for investment in a private fund, the private placement memorandum for that fund and related documentation.
  • Work with a financial services client to create a private fund and its state-registered investment adviser, including the private offering for the fund and ensuring exemption from the Investment Company Act of 1940