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Pooled Investment Funds

While most businesses are focused on providing products or services, pooled investment funds are unique in that their focus is more on the purchase and sale of assets to reap certain financial benefits in the form of dividends, interest, or capital gains. Depending on the fund’s focus, the fund could be classified under one of a variety of names: hedge fund, venture capital fund, private equity fund, mutual fund, and more.

Regardless of the structure of the fund, the general structure is the same, in that a primary vehicle (the LP)  is created that will take in the investment, and then a separate entity is put in place which makes all decisions and delegates all tasks in furtherance of the fund’s investment strategy (the GP). The sale of securities associated with these funds generally requires substantial disclosures pursuant to relevant securities regulations.

These funds are highly regulated at both the federal and state level. Laws related in investment advisors, broker dealers, sale of securities, and more apply to these funds, making it one of the most complex areas of law to navigate.


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