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Jonathan A. GolubPartner

  • Experience
  • Education
  • Professional
  • Admissions
  • Publications

Experience

Jonathan advises hedge funds, private equity funds, venture capital funds, and other pooled investment vehicles and their managers on all aspects of fund formation, operations and regulatory compliance. Jonathan’s clients include:

  • U.S. and non-U.S. fund managers
  • Investment advisers
  • Commodity trading advisors (CTAs)
  • Commodity pool operators (CPOs)
  • Family offices
  • High net worth and institutional investors
  • Chief compliance officers, portfolio managers and investment advisor representatives.

Jonathan regularly provides counsel on a wide variety of commercial issues arising under U.S. federal securities laws and related regulations, such as the Investment Advisers Act of 1940, the Securities Act of 1933, the Investment Company Act of 1940 and the Commodity Exchange Act.

In addition, Jonathan assists clients with SEC, CFTC and NFA registration and individual state-level registrations.  Jonathan also advises clients on the fiduciary and compliance obligations imposed on registered investment advisers, CTAs and CPOs, including managing conflicts of interest, and “best practices” for raising capital from prospective investors.

Prior to joining the firm in 2014, Jonathan was affiliated with prominent international and New York law firms with well regarded financial services practices.

Jonathan’s representations have included:

  • Forming multiple private equity and venture capital funds, and related co-investment and special purpose vehicles that invest in emergiing technology and healthcare companies and other types of assets.
  • Forming multiple master-feeder structures, stand-alone funds and “mini master” structures following a variety of equity, debt, and futures-based investment strategies for investment advisers both in the U.S. and in offshore jurisdictions
  • Establishing cross-border subadvisory, marketing and introducing relationships among fund managers, asset allocators, funds of funds, family offices and other market participants
  • Creating Rule 206(4)-7 compliance programs for registered investment advisers
  • Preparing NFA supervisory procedures for registered CTAs/CPOs
  • Serving as an outsourced chief compliance officer of a New York-based registered investment adviser affiliated with a leading global alternative investment manager managing over $25 billion in hedge fund and private equity assets
  • Negotiating separately managed account agreements between institutional investors and asset managers
  • Performing legal due diligence on private investment funds for institutional lenders and funds of funds
  • Responding to inquiries, examinations and deficiency letters issued by the SEC, CFTC and the NFA
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Education

  • UCLA School of Law, (J.D., 2000)
  • University of Virginia (B.A., 1996)

Professional

  • Member of the New York City Bar Association
  • Member of the American Bar Association

Admissions

  • New York
  • California

Publications

  • Panelist and Organizer, “An Emerging Manager’s Guide to First Year Success,” Panel discussion hosted by Reitler Kailas & Rosenblatt LLC, September 2018.
  • Speaker, “Hidden Issues for New Fund Managers,” Private Equity and Venture Capital Roundtable hosted by Anchin, Block & Anchin, June 2018.
  • “Registration, Exemption and Compliance Requirements for Private Fund Managers,” VC Experts Blog, April 2016.
  • “Annual Compliance Considerations for Investment Advisers,” Presentation Given to the Financial Planning Association of New York, November 2014.
  • “SEC Adopts New Family Office Rule,” Private Asset Management Magazine, October 2011.
  • “How Regulation Affects CTAs,” Opalesque Futures Intelligence, June 23, 2010.
Practices