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Alan Markfeld profile picture
Alan Markfeld
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Dharmi is an excellent securities lawyer who understands the law as it pertains to these cases. She is extremely proactive and represents her clients well. I highly recommend Jacko and Dharmi.
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Danielle Martin profile picture
Danielle Martin
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I’ve had the privilege of working closely with this firm in my role as Chief Compliance Officer and I can confidently say they are an exceptional compliance partner. Their depth of experience is immediately evidentand they bring a level of practical knowledge. What I truly enjoy is their ability to translate complex regulatory requirements into plain English, often using real, everyday examples that make implementation far more manageable. They are also incredibly responsive and reliable. In a field where timing matters, their prompt communication and thoughtful guidance have been invaluable. If you’re looking for a compliance attorney who combines expertise, clarity, and professionalism, I highly recommend them.
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Curt Rocca profile picture
Curt Rocca
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Michelle and the team at Jacko Law Group have helped guide through a variety of critical circumstances as we ventured through the uncharted and unfamiliar territory of becoming and successfully operating as an RIA. I have particularly appreciated Michelle's personal involvement and genuine caring about us and our organization. She has been responsive and her counsel has been consistently on-point and helpful. She artfully guided us through our initial filing process and first SEC exam process - which went very well. Very grateful to Michelle and her team.
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Nicholas Di Paolo profile picture
Nicholas Di Paolo
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Michelle and her team were excellent to work with, front to back. They helped me to understand the challenges ahead and were always proactive in their consultation through every step of my transition. JLG truly know the wealth management industry very well and did a great job of understanding the challenges unique to my business. Without them, I can confidently say I would not have felt as comfortable through the transition as I did. Fortunately, that's not something that stops there - Michelle and her team have kept in touch to ensure that I'm on top of certain administrative issues, trends, and simply showing me that they care about my business and success. I look forward to continuing to work with them for many years to come.
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Margery Neis profile picture
Margery Neis
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Dharmi Mehta was extremely helpful when my business partner and I transitioned to a new RIA firm. She and her staff were all very professional. Her guidance during our transition was invaluable. I highly recommend Dharmi and Jacko Law Group.
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Joseph Burwell profile picture
Joseph Burwell
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Dharmi and Amandeep were a delight to work with. They assisted me with a claim and stuck with me the entire way through. Dharmi's advice was invaluable, and I was most impressed by her clear and professional communication. From beginning-to-end, both Dharmi and Amandeep kept me well informed. Their entire team are proud of their work and rightfully so. Thank you!
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Faruk Jaffer profile picture
Faruk Jaffer
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My mentor once told me that a good attorney is worth their weight in gold — and that couldn't be more true of Michelle and Amanda. Their expertise, professionalism, and responsiveness were top notch every step of the way. It's rare to find legal partners who are not only sharp and thorough, but also genuinely invested in your success. I’m grateful for their guidance and highly recommend them to anyone seeking trusted legal counsel.
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everistus etafo profile picture
everistus etafo
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It is my great Privilege to share my Review of what Atty Dharmi Mehta of Jacko Law Group did for me and by extension for my family. From the first time complimentary conversation we had having spoken to several other Lawyers ,l knew she was the right person for the Job .Because of her background as a former RR ,she was professional,kind, Empathetic,listened and was focused on fighting for me. From a potential of been terminated with cause ,l was able to walk away with a clean U5 with a validation that l did nothing wrong except what was in the best Interest of my clients. I hope nobody ever has to go through what l have Experienced, but if you do ,you want Dharmi Mehta beside you .Rest assured your service Deserve 10 stars but this forum only allows 5. Me and my family are forever grateful and will make sure that any RR who needs an advocate will know about you . Everistus Etafo
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Karen Althaus profile picture
Karen Althaus
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I have worked with Jacko Law Group for 2 different business situations that necessitated an attorney. In both cases, the team was very thorough & competent. Their attention to our situation and the extra effort they put into our case(s) was very much appreciated. I would highly recommend Jacko Law Group!

Private Fund Operations

Investment Management Agreements

At Jacko Law Group, our experienced private fund attorneys work closely with clients to develop comprehensive Private Fund Investment Agreements. We ensure that the terms of your business relationships are clearly defined, aligning all parties’ interests, addressing potential risks, and meeting compliance obligations.

Our legal team drafts Private Fund Investment Agreements that include:

  • The scope of services for the Private Fund Investment Manager or Adviser
  • Detailed fee structures
  • Reporting requirements
  • Termination provisions
  • Investment restrictions
  • Investment policies

Our attorneys help private fund managers refine or create new Private Fund Policies that outline the fund’s risk tolerance, investment strategy, and legal/compliance obligations. We tailor our services to meet the unique needs of each client.

Our Private Fund Policies services include:

  • Reviewing and updating existing policies and guidelines
  • Developing new policies that address specific client needs
  • Advising on fiduciary duties of advisers
  • Implementing fund governance protocols
  • Providing legal counsel on risk management strategies

Navigating the regulatory landscape and meeting compliance requirements for Private Funds requires experienced counsel. Our attorneys have the skills and expertise to guide fund managers toward success while mitigating the risks associated with these high-stakes investment vehicles.

Private Fund Compliance Counsel

Securities and Commodity Regulations

Private Fund Compliance is a complex and constantly evolving area. The high-risk nature and limited transparency of Private Funds make them particularly susceptible to regulatory scrutiny. Additionally, investors hold powerful legal rights that can expose Private Fund advisers to lawsuits, penalties, and potential reputational damage.

Developing and maintaining a robust regulatory compliance program is essential to protecting both investors and advisers, while fostering mutual trust and confidence.

Jacko Law Group offers expert Private Fund Compliance Counsel, guiding clients through a range of regulatory issues, including:

  • Private Funds under Sections 3(c)(1) and 3(c)(7) of the Investment Company Act of 1940
  • Private Placements under Regulation D
  • Activities triggering Broker-Dealer Registration
  • JOBS Act and Crowdfunding regulations
  • Limitations on performance fees
  • Form PF filing requirements
  • Regulation S-ID for identity theft prevention
  • NFA Registration Exemption for de minimis positions
  • Registration Lite and full NFA Registration as a Commodity Trading Adviser/Commodity Pool Operator
  • NFA Registration of associated persons

Intellectual Capital Protection & Employment Agreements

For private fund advisers, the collective power of your employees’ ideas and hard work is critical to building competitive strength. Your clients and investment strategies are the foundation of your success. However, many private fund advisers fail to implement adequate protective measures for their intellectual capital, which can undermine the business.

Our team at Jacko Law Group provides customized legal support to safeguard your intellectual capital. We help structure clear expectations with employees and provide the following services:

  • Confidentiality Agreements and Intellectual Property (IP) Assignment Agreements
  • Procedures for handling intellectual capital
  • Training to raise awareness about confidentiality
  • Compensation arrangements for portfolio management and sales personnel
  • Counsel related to non-solicitation and non-compete provisions

If you need assistance drafting or refining a Private Fund Agreement, or establishing comprehensive Investment Policies, schedule a call with our Private Fund attorneys today to discuss your needs.

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