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919 Third Avenue
New York, New York 10022
United States of America
P: +1 212.756.2567
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Steven J. Fredman, a partner in the New York office and co-head of the firm’s Investment Management Group, concentrates his practice in the areas of investment funds (domestic and offshore), investment advisers and broker-dealers, the acquisition and related financing of investment management firms, and securities regulation. Steve has structured and organized private investment partnerships and offshore funds, including general equity, arbitrage, global investment, private equity, distressed company, small cap and fund of funds, and has counseled on issues relating to partnership law, new product development, and other matters. He has structured and organized investment advisers and broker-dealers, handled the registration of commodity pool operators and commodity trading advisors, and provided ongoing advice to investment advisers on securities laws, rules, regulations and information. He has also represented clients in connection with the acquisition and sale of investment management firms or their assets.
Steve is a 1980 graduate of Georgetown University Law Center, where he was an editor of Law and Policy in International Business, and a 1977 graduate of Columbia University, where he was Phi Beta Kappa. He is a past member of the American Bar Association’s Committee on Partnership and the New York City Bar Association’s Committee on Art Law.
Selected Representations
Investment Partnerships and Investment Management
Structured and organized private investment partnerships and offshore funds, including general equity, arbitrage, global investment, private equity, distressed company, small cap and funds of funds; structured numerous partnership law issues and assisted in the development of new products.
Regulatory
Structured and organized broker-dealers, including those affiliated with investment management firms; handled registration of commodity pool operators and commodity trading advisors; provided ongoing advice to broker-dealers on securities law issues.
Acquisitions and Financings
Acquisitions and sales of investment management firms.
Selected Publications
“Alternative Asset Manager Acquisitions: Addressing the Human Paradigm in the Integration Process,” The Hedge Fund Journal, March 2011 (co-author)
“New Paradigm in Asset Manager M&A: Financial Institution Alliances with Hedge Fund Managers,” The Hedge Fund Journal, November 2010 (co-author)
“Issues in Structuring Ownership and Compensation for Key Personnel of Private Investment Funds,” The Capital Guide to Offshore Funds, 2000 (co-author)
“Organizing and Operating an Offshore Fund After the Repeal of the Ten Commandments,” The Capital Guide to Offshore Funds, 1999 (co-author)
“Organizing and Operating an Offshore Fund,” Securities & Commodities Regulation, May 1998 (co-author)
More
Selected Speaking Engagements
“Succession Planning,” SRZ 21st Annual Private Investment Funds Seminar, January 2012
“Current Issues in Trading Fixed Income Securities,” SRZ Investment Management Hot Topics, October 2011
“Alternative Asset Manager Acquisitions,” Goldman Sachs 14th Annual Hedge Fund Conference, May 2011
“Hedge Fund Challenges: The Hedge Fund Perspective,” SIFMA Compliance & Legal Society Annual Seminar, March 2011
“Management Company Capital Transactions,” SRZ 20th Annual Private Investment Funds Seminar, January 2011
“The Changing Landscape of the Investor-Manager Relationships Negotiating with Sizeable Investors,” SRZ Investment Management Hot Topics, May 2010
“Hedge Fund Challenges - The Hedge Fund Perspective,” SIFMA CL Annual Seminar, May 2010
“Regulatory Enforcement,” SRZ 19th Annual Private Investment Funds Seminar, January 2010
“Accounting and Legal and Restructuring Hedge Fund Terms and Conditions,” Goldman Sachs 12th Annual CFO Conference, May 2009
“A New Paradigm for Hedge Funds,” Cadogan Management Roundtable, April 2009
“Liquidity Terms: What Works and What Doesn’t in Times of Crisis,” SRZ 18th Annual Private Investment Funds Seminar, January 2009
“Tax and ERISA Considerations for Year End,” SRZ Investment Management Hot Topics Seminar, November 2008
“Current Legal & Regulatory Issues and Trends,” SIFMA Hedge Funds and Alternative Investments Summit and Exposition, June 2008
“Lessons from Fund Wind Downs,” Goldman Sachs 11th Annual Hedge Fund Conference, May 2008
“Addressing Conflicts of Interest,” SRZ 17th Annual Private Investment Funds Seminar, January 2008
“Public and Private Sales of Ownership in Hedge Fund Managers,” SRZ Cutting Edge Alternative Asset Management Deals Seminar, July 2007
Goldman Sachs & Co. 10th Annual Hedge Fund Conference, May 2007
“Private Investments: Navigating the Fiduciary and Compliance Waters,” SRZ 16th Annual Private Investment Funds Seminar, January 2007
“Hedge Funds: Regulatory Issues and Structures,” The Loan Syndications and Trading Association Conference on Hedge Funds, September 2006
“Looking Ahead: Hedge Fund Legislation and the Sequel to Goldstein v. the SEC,” Institutional Investor Audio Conference, July 2006
“Distribution Channels Available to Hedge Fund Managers,” SRZ 15th Annual Private Investment Funds Seminar, January 2006
Goldman Sachs & Co. Eighth Annual Hedge Fund Conference, May 2005
“Exit Strategies for Founders and Key Employees; Impact of New Deferral Rules,” SRZ 14th Annual Private Investment Funds Seminar, January 2005
SIA Mutual and Hedge Funds Conference, June 2004
Goldman Sachs & Co. Seventh Annual Hedge Fund Conference, May 2004
“How to Run and Operate a Hedge Fund and/or CTA,” Alternative Investing Summit, December 2003
Goldman Sachs Hedge Fund Seminar for CFOs, November 2003
“Fee Issues,” The Fund of Funds Business Operations Forum, November 2003
“Hedge Fund Due Diligence,” SIA Fall Compliance Seminar, November 2003
Conyers Dill & Pearman Offshore Funds Seminar and Reception, June 2003
Sixth Annual Goldman Sachs Hedge Fund Conference, May 2003
The Investment Management Institute: A Seminar for '40 Act Lawyers, May 2003
“Issues and Trends in the Hedge Fund Industry,” Network 2003 Conference, February 2003
IBC 12th Annual Forum on Offshore Funds, December 2000
IIR Third Annual Private Investment Partnerships Business Operations Forum, June 2000
IIR Investment Adviser Compliance Forum, May 2000
“New Directions in Unregistered Investment Vehicles,” Suffolk University Law School, May 2000
“Soft Dollars,” IIR conference, January 1999
“Does the Current SEC Position on Hedge Funds Truly Protect Investor Interests?,” Information Management Network, December 1995
More
Memberships
American Bar Association
Committee on Partnership Law, 1994-96
New York City Bar Association
Committee on Art Law, 1987-89
Other Distinctions
International Who's Who of Private Funds Lawyers
The Best Lawyers in America
IFLR Best of the Best USA (Investment Funds)
Chambers USA, Chambers Global
IFLR Guide to the World’s Leading Investment Funds Lawyers
IFLR Guide to the World’s Leading Private Equity Lawyers
The Legal 500 United States
PLC Which Lawyer?
Bar Admissions
Education
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Georgetown University Law Center, J.D., 1980
- Editor, Law and Policy in International Business
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Columbia University, B.A., 1977
Prior Experience
Associate, Rubin Baum Levin Constant & Friedman, 1981-86
Law Clerk to Hon. William Hoeveler, U.S. District Court, Southern District of Florida, 1980-81
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