Robert H. Sutton
Professional Profile
Robert Sutton focuses his practice on the formation and operation of hedge funds, other private investment funds and their sponsors, as well as the regulation of the managers and advisers of private funds. He advises clients on a wide variety of fund related matters, including the structuring, formation and operation of investment funds, investment advisers and fund management companies, investment adviser registration and regulation, seed arrangements, spin-off transactions, joint venture relationships, agreements with service providers, general securities law matters and other compliance and trading matters.
Representative Matters
Over the course of his career, Robert has represented a wide variety of fund sponsors, investment advisers and investment funds, ranging from start-up ventures to established firms managing assets in the tens of billions of dollars. Among other matters, he has counseled clients regarding:
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the structuring, formation and operation of hedge funds and other private investment funds, including legal, regulatory and business considerations;
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the establishment and operation of separately managed accounts and single-investor investment vehicles, including manager and investor representations;
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the structuring and formation of investment advisers and fund management companies;
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fund manager seed arrangements, joint venture relationships and purchases and sales of equity stakes in existing management entities;
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spin-off transactions;
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investments in third-party funds;
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establishment and negotiation of service provider relationships;
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investment adviser regulation in connection with both registered and unregistered investment advisers, including the preparation of SEC filings and the establishment and maintenance of compliance policies and procedures; and
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compliance with securities laws, including beneficial ownership reporting obligations and other trading and securities law related matters.
Memberships & Affiliations
Member, American Bar Association
Publications
Co-author, "Private Fund Manager—Final IA Registration and Exemption Rules Adopted with Registration Deadline Extended to March 30, 2012," and author, "House Bill Creating Private Equity Fund Adviser Exemption Approved by Financial Services Committee, but Faces Hurdles," appearing in Kirkland & Ellis LLP Private Equity Newsletter, June 30, 2011
Co-author, "Dodd-Frank Act Affects Private Fund Managers and Investors," appearing in Kirkland & Ellis LLP Private Equity Newsletter, July 21, 2010
Co-author, "House-Senate Conference Committee Agrees—Large Private Equity Fund Managers Must Register as Investment Advisors," appearing in Kirkland & Ellis LLP Private Equity Newsletter, June 16, 2010
Co-author, "Treasury's Regulatory Reform Proposals—Impact on Private Fund Managers," appearing in Kirkland & Ellis LLP Private Equity Newsletter, June 24, 2009
Co-author, "Financial Service Reform Begins - Proposed Registration of Private Funds and their Advisers," appearing in Kirkland & Ellis LLP Private Equity Newsletter, February 5, 2009
Seminars
Speaker, Registered Adviser Seminar & CCO Summit — New York (December 4, 2012)
Speaker, Hedge Fund Networking Event: Market and Regulatory Trends Update — Chicago (October 11, 2011)
Speaker, Practising Law Institute's 12th Annual Private Equity Forum, panel on "Other Regulatory Developments Affecting the Marketing of Private Equity Funds" — New York (July 11, 2011)
Speaker, Private Fund Investment Advisor Registration Seminar — New York (September 21, 2010)
Speaker, Hedge Fund Networking Event: Market and Regulatory Trends Update — New York (May 11, 2010)
Speaker, Chicago Bar Association Investment Management Subcommittee Meeting, "U.S. and European Short Sale Developments" and "IOSCO Hedge Fund Reporting Template" — Chicago (March 11, 2010)
Moderator, Panel on Structuring Options for Bermuda Investment Funds, Annual Bermuda Financial Services Conference — New York (September 30, 2008)
CCO University, Course 605 - SEC Filings and Reporting (online course, available to program registrants at www.ccouniversity.org, taped on April 23, 2007)
Prior Experience
Schulte Roth & Zabel LLP, Special Counsel (Dec. 2006 to Sept. 2008), Associate (Sept. 1998 to Dec. 2006)
