State Bar of California
AREAS OF PRACTICE
General Corporate & Commercial
Financial Services Firms, Broker-Dealers, Investment Advisors
Private equity/Venture Capital
Family Office & Multi-Family Office Practice
Blockchain Technology & Digital Currency
J.D., University of California, Los Angeles School of Law
B.A., History and Political Science, Purdue University
Anthony J. Caldwell is a partner in the San Francisco office. Mr. Caldwell has over 17 years' experience advising clients regarding securities and regulatory compliance, complex commercial transactions, and general corporate matters.
Mr. Caldwell focuses on representing investment advisors and managers of private investment funds, including domestic and offshore hedge funds, private equity funds, real estate investment funds and other alternative investment funds. His practice includes counseling clients regarding:
- Private investment fund structures and documentation;
- Investment advisor structures, including negotiating agreements among founders;
- Registration with the SEC and other regulators;
- Ongoing regulatory compliance;
- Client and investor agreements, including investment management agreements and side letters; and
- General corporate matters, including vendor agreements, non-disclosure agreements, employment agreements, bonus agreements and separation agreements.
Mr. Caldwell also advises clients regarding secured and unsecured debt financings, mergers and acquisitions and other general corporate matters.
Mr. Caldwell previously was a counsel in the corporate and investment funds and advisers practice groups at Shartsis Friese LLP in San Francisco, California.
- Represented real estate fund manager in the structuring and formation of multiple real estate investment funds that invest in multi-family residential properties in major urban areas
- Represented SEC-registered investment adviser in negotiating a $20 million senior secured credit facility
- Represented SEC-registered investment adviser with over $2 billion under management in the structuring and formation of multiple industry-focused hedge funds
- Represented SEC-registered investment adviser in restructuring its ownership in connection with the retirement of the firm’s founder
- Represented SEC-registered investment adviser in the $20 million acquisition of another SEC-registered investment adviser
- Represented public company in negotiating a $300 million unsecured revolving credit facility