State Registration of Investment Manager

We are currently registering investment adviser as a mini-adviser driven by its existing facts and circumstances.  Alternative options and offering structure drives the analysis across SEC, State, Exemptions, etc. and regulatory build out.  We are also supporting Client across compliance, operations, regulatory and risk management framework.

Closed End Fund – US Parallel Fund

For existing client ( for a well known pioneer portfolio manager) in the process of launching to its existing master – feeder structure, a stand alone fund driven by tax and risk management issues, a key consideration when launching a new strategy.  This strategy will invest in mutual funds with a focus on equities under […]

Closed End Trading LLC

Pioneer portfolio manager, of such firms as BNP Paribas, AQR and Magnetar Capital.  Executed fund formation, corporate governance, asset raising, marketing and private fund advisor build-out and on-going support leading to the growth of a successful U.S. strategy specializing in closed end trading funds across teams and people to mange the assets of high net […]

Argent Financial Group, Greenwich CT

Formerly one of the largest traders of a convertible arbitrage strategy.  Enterprise level diagnostic review, gap analysis, recommendation report in connection with a number of U.S. and offshore funds, equity funds, registered investment advisers, operations and compliance framework across its enterprise. Objective to increase efficiencies, create robust best practices infrastructure and materially reduce risk, legacy […]

Anchor Risk Advisors LLC

Principal co-founded CAT bond and reinsurance onshore and offshore master-feeder and advisory firm organization to facilitate catastrophic bond and reinsurance strategy. Collaborated with re-insurance pioneer portfolio manager and well known strategic investor to facilitate pragmatic growth and help win institutional assets from leading Qualified Institutional Buyers defined as having $100 million or more of net […]

Ress Capital

Engaged by well known New York law firm to collaborate and provide private fund expertise to a Swedish based private fund manager in connection with U.S. sub-advisory relationship to manage a reinsurance strategy for a large US alternative asset manager represented by global private fund manager law firm.

Nikko Asset Management

For a global asset management managing the largest fixed income strategy in Asia at the time, our principal executed the strategy and spectrum of offshore structures, teams and people to provide both strategic and execution support to client’s CEO and CIO across a global best practices infrastructure of fund formation, compliance framework, operational risk management, […]

RMCEF CEFT Ltd.

Launched an offshore start-up master-feeder structure into existing US stand-alone fund to accommodate institutional investor’s substantial investment.  BVI tax blocker entity and availability for investment within a four-week time frame.    Although this type of offering structure may typically takes 6-8 weeks as a highly experienced and nimble law firms we satisfied client need to […]

Aon Consulting

Engaged by global firm AON COO Chicago subsidiary to perform diagnostic review and analysis review across execution and support of $250 Ml AUM launch of an offshore private equity fund of funds structure.

US & Offshore Commercial Loan Real Estate Fund

For US commercial real estate fund executed offshore and onshore master feeder structure and reorganized existing investment manager organization to facilitate new offering strategy.