Who We Are

Brian Guzman

Partner

Brian founded GAP after two decades advising private funds, first at Seward & Kissel and then in house, at Indus Capital Partners. At Indus, Brian served as general counsel, partner and member of the management committee.

Brian’s experience covers a wide range of legal and regulatory issues that confront global investment management firms. At GAP, Brian has developed a diverse practice advising private fund managers, as well as operating companies.

Selected Professional Activities

Structure and negotiate strategic relationships, including joint ventures, seed and strategic investments, co-investment vehicles, managed accounts, and funds of one.

Advise on manager operating agreements and related compliance and operational matters.

Structure and form various fund entities, including LLCs and LPs.

Advise on international transactions and relationships, including foreign investments and investment vehicles and foreign regulatory regimes and securities laws.

Guide managers through operational due diligence.

Support managers during regulatory exams.

Review and negotiate agreements, including vendor contracts and non-disclosure agreements.

Prior Experience

Indus Capital Partners, LLC
Partner, General Counsel, and Member of the Management Committee

Seward & Kissel
Associate

Speaking Engagements

Brian is a frequent speaker, panelist and roundtable leader at industry conferences.

GAIM Ops NY Edition 2021
Panel Moderator: Evolution of the Family Office, Sept. 27, 2021, NYC.

GAIM Ops Connect 2020
Panel Moderator: Working with Alternative Legal Service Providers, Oct. 7, 2020, Virtual

GAIM Ops Connect 2020
Panelist: Operating in Asia, Oct. 2, 2020, Rancho Mirage, CA

GAIM Ops West 2019
Panel Moderator: Outsourcing 2019: Case Studies Where GPs Are Finding Efficiency in the Middle and Back Office, Oct. 21, 2019, Rancho Mirage, CA

GAIM Ops West 2018
Roundtable Moderator: Investing in India – Regulatory Developments and Operational Considerations, Oct. 22, 2018, Palm Springs, CA

YJP General Counsel and Compliance Conference
Panelist, Jan. 23, 2018, NYC

GAIM Ops West 2017
Panelist: Operational Due Diligence; Panelist: Recent Insider Trading Case Law and What It Means for the MNPI Boundary, Oct. 23, 2017, Rancho Mirage, CA

Hedge Fund Law Report and MoloLamken
Panelist: Mitigating Insider Trading Risk, Nov. 15, 2017, NYC

National Society of Compliance Professionals National Conference
Panelist: Due Diligence of Funds, Counterparties, and Vendors for Investment Advisors and Private Funds, Nov. 2, 2015, Washington, DC

Regulatory Compliance Association, Regulation, Operations and Compliance Symposium
Panelist: Global Fund Marketing and Distribution, Mar. 14, 2014, NYC

Hedge Fund Law Report, Anti-Corruption Report & Molo Lamken
Panelist: Hot Topics in FCPA Enforcement and Compliance for the Private Funds Industry, June 2014, NYC

GAIM Ops Cayman 2013
Panelist: What’s Next for Form PF?, Oct. 23, 2013, Cayman Islands

Regulatory Compliance Association
Panelist: Regulation, Operations and Compliance 2014 Symposium, Use of Managed Accounts Versus Funds of One, Apr. 18, 2013, Cayman Islands

Argyle Executive Forum
Panelist: The Role of the General Counsel in Investor Relations, Sept. 21, 2011, NYC

ALM Events, Fourth Annual Hedge Fund General Counsel Summit
Panelist: Preparing for an SEC Inspection, Examination or Investigation, Oct. 4, 2010, NYC

Contact

212-542-0414
bguzman@guzmanadvisory.com

Practice Areas

Investment Advisers
Hedge Funds
Private Equity Funds
Family Offices
Operating Companies

Education

Brooklyn Law School, JD

New York University, BS
Stern School of Business

Bar Admission

New York