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Attorneys


John S. Lore, Esq. | Managing Partner  LI-Logo

John Lore

Mr. Lore advises emerging fund managers throughout the United States, Europe, and the Middle-East in forming and operating real estate funds, hedge funds, private equity funds, and other alternative funds using varied strategies; including equity, fixed income, distressed debt, and sector funds. Additionally, Mr. Lore advises real estate funds during the soft-commitment pre-capital raising stage.

Mr. Lore has advised hundreds of investment fund managers and real estate fund sponsors on all aspects of their business, from capital raising and fund formation to implementation of their business models. His representation of a broad range of managers allows him to keep abreast of emerging trends, regulations, and key business issues in the capital-raising process.

Mr. Lore is a frequent speaker at investment management events in the U.S. and Europe, and some of the world's leading universities. Mr. Lore is regularly called on to provide insights on emerging hedge fund and private equity legal topics to institutional investors and is quoted in more than 100 media articles in over a dozen countries.

Before founding Capital Fund Law Group, Mr. Lore practiced corporate and securities law at reputable law firms, including the private securities department of Akin Gump Strauss Hauer & Feld in the New York City and Moscow offices. Mr. Lore received his J.D., with honors, from the University of Utah, where he served as a senior member of the Utah Law Review. Mr. Lore received his B.A. from Brigham Young University and is a member of the New York State Bar and the Utah State Bar.

In The News


  • The RegTechReport - Insights on PE and VC investment activity and strategies
  • Investment News - SEC won't offer any grace period for Reg BI compliance
  • New York Business Journal—What investors can expect now that Opportunity Zone rules are in place
  • Financial Advisor—Attorney spells out risks, rewards of the opportunity zone program
  • Bloomberg—Trump's Opportunity Zone rules deliver on investors' wishlist
  • Pensions & Investments—Money managers eager to make the leap to opportunity zone investing
  • The Epoch Times—Opportunity Zones: Turning neglected neighborhoods into attractive investments
  • The Epoch Times—Opportunity zones could be game-changer for the rural US
  • Law360—Why PE's opportunity zone plans remain on Hold
  • BizNow—From gentrification to lack of guidance, investors express concerns with opportunity zone program
  • Business Insider—What you need to know on Wall Street Today
  • Financial Times—Crypto exchanges must face up to responsibilities as they mature
  • Pensions & Investments—Cryptocurrency funds want to branch out but held back
  • The Hedge Fund Law Report—Unique Security Risks Posed by Cryptocurrency Investing: Steps Fund Managers Must Take to Protect Individuals With Access to Client Assets

Recent Presentations

  • Digital-Asset Regulation Symposium co-presenter with panelists from Harneys, Stout, and the University of Luxembourg
    Columbia University | June 2019
  • Co-Lecture with Professor Dirk Zetzsche, University of Luxembourg ADA Chair in Financial Law: Global Center for Investment Fund Studies—Investment Funds Digital Asset Research Issues
    Harvard Law School | February 2019
  • Real Estate Qualified Opportunity Zone co-presenter with panelists from KPMG and JMA Ventures: Capital Fund Law Real Estate Fund Opportunity Zone Workshop
    Columbia University | December 2019
  • Guest Panelist, joined by fellow panelists from Novogradic, Snell & Willmer, and JMA for the Opportunity Zones Webinar: In-Depth Discussion for Investors and Advisors
    Hosted by JMA Ventures | November 2018
  • US Investment Management Law Panelist: Global Institutional Investor Obstacles and Considerations for emerging Digital Asset Investment Issues: 2018 International Trader Forum, Rome, Italy | September 2018
  • Moderator and co-presenter with panelists from Harneys and Cummings Law on digital asset issues and the European Union
    London, UK | May 2018
  • Hedge Fund Moderator and co-presenter with panelists from Akin Gump, Pulteney Street Capital, Anderson Tax, et. al. on open-end investment funds and digital asset issues—Global Center for Investment Fund Studies
    Harvard University | April 2018
  • Real Estate Fund Law Moderator and Co-Presenter with Alpha Wave Investors, Key West Investments, Capital Fund Law Real Estate Fund Workshop: Raising Capital
    Los Angeles, CA | March 2018
  • Moderator and co-presenter with the Managing Editor of the Stanford Journal of Blockchain Law & Policy, with panelists from CEO and Senior Vice Presidents of: Bitgo, Xapo, Kingdom Trust, and Dominion—Capital Fund Law, Cryptocurrency Hedge Funds and Custody Questions
    Columbia University | June 2019
  • Alternative Mutual Funds: Compliance and Risk Management in 2015 Explored
    The Knowledge Group CLE/CPE National Webcast | March 2015

 

Christopher Rogers, Esq. | Senior Tax Partner

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Mr. Rogers practices in the areas of investment fund formation, securities law, corporate law and taxation, Mr. Rogers advises clients on the structuring, formation, and compliance of hedge funds, private equity funds, real estate funds and other alternative investment vehicles.

Mr. Rogers also has extensive experience counseling operating companies in raising debt and equity capital through Regulation D private placement offerings in a variety of industries, including real estate, mining, lending, oil and gas, healthcare, manufacturing, automotive and others.

Mr. Rogers received his J.D. cum laude, from Roger Williams University School of Law, where he served as the Chief Executive Officer of the Tax and Business Law Society.

After law school, Mr. Rogers received an LL.M. in Taxation from Boston University. In addition to his law degrees, Mr. Rogers holds an MBA and Masters of Professional Accountancy from Weber State University.Mr. Rogers is a member of the Rhode Island State Bar, the Massachusetts State Bar, the Utah State Bar, and is admitted to practice before the U.S. Tax Court.

in the news

  • U.S. News - Should You Be Investing in Active Real Estate Funds?
  • U.S. News - 4 Rules for Buying an Investment Property in a Recession.

Representative Transactions

  • Represented a New York-based investment manager in the formation of an open-ended equities hedge fund.
  • Represented a Colorado-based film producer in a private placement offering for development of a motion picture.
  • Represented an issuer in a $60 million equity offering for the manufacturing and distribution of armored vests.
  • Regulation S and Regulation D offering for a real estate company consisting primarily of offshore investors in connection with an EB-5 program.
  • Prepared a multi-million dollar equity private placement offering for a 1940 Act Investment Company.
  • Hedge Fund formation for a state-registered investment fund focused on monthly options.
  • Prepared an equity private placement offering for a major, Washington D.C.-based news reporting corporation.
  • Formed a real estate lending fund for a Utah based commercial real estate lending group.
  • Represented a Utah-based motion picture producer in a Regulation D offering for the development of an independent motion picture private placement offering for a Las Vegas based online mobile application company.
  • Represented a Florida-based medical device manufacturer in a $10 million Regulation D private placement equity offering.
  • Multiple multi-million dollar equity series and debt private placement offerings for a New Jersey based debt investor.
  • Private placement offering for a New York based online mobile application company.

 

Yu Tian, Esq. | Attorney

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Ms. Tian practices in a wide spectrum of corporate and securities law matters, with a focus on private equity, venture capital, and hedge fund formation. Ms. Tian has experience assisting start-up funds, catering to the emerging fund manager.

Additionally, she has extensive experience in representing large funds affiliated with top Wall Street financial institutions. Prior to joining the firm, Ms. Tian was associated with a leading U.S. based Chinese firm, where she worked on several significant cross-border transactions. Ms. Tian received an LL.M. from Vanderbilt University Law School and an LL.B. from China University of Political Science and Law where she graduated with honors.

Ms. Tian is a member of the New York State Bar and is an active member of the New York City Bar Association. In addition, she is authorized to practice law in mainland China and is an active member of the Asian Americans Bar Association. Ms. Tian is fluent in Mandarin Chinese.

Lead Staff


Whitney Loftus | Senior Investment Funds Paralegal

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Ms. Loftus serves as Senior Investment Funds Paralegal and plays a key role in document preparation and filing. Ms. Loftus works closely with all clients through their formation process, from engagement to fund launch. Additionally, Ms. Loftus coordinates all regulatory compliance filings and registrations.

Prior to joining Capital Fund Law Group, Ms. Loftus served as an office administrator for a medical facility. Academically, Ms. Loftus was nominated for the Senior Thesis of the Year Award at her attending University in 2017, in recognition of her exceptional historical research, and holds a Bachelors Degree in Legal Studies. In her free time, Ms. Loftus enjoys the outdoors with her husband and continues to pursue her passion for history through reading and continued research.

Jennifer Hicks | Client Development Director 

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Jennifer Hicks, Director of Client Development at Capital Fund Law Group, joined the firm in the early part of 2018 and has quickly become an integral team member. She liaises with the in-house attorneys, assists prospective and current clients with their fund planning and formation process and provides guidance to emerging managers on non-legal fund-related matters. Furthermore, Ms. Hicks organizes the firm's investment fund events and is the point of contact for our Managing Partner, John Lore.


Ms. Hicks, who has been a lifelong student of the legal field, held a career in law enforcement in the state of Utah prior to becoming a part of Capital Fund Law Group. Having been a first responder allowed Ms. Hicks the opportunity to gain valuable skills, which include investigative research, critical thinking, extreme attention to detail and multitasking – all skills required to make the transition to the corporate side of the law. While her client base is now fund managers and not the public, Ms. Hicks understands the importance of public relations and perception. In fact, she partakes in podcasts and interviews showcasing her transition from one area of the law to another.


Given her time as a civil servant, Ms. Hicks continues to fuel her passion for giving back and serving the community. Ms. Hicks provides diversity and inclusion training to police and fire departments, to promote greater equality and understanding both within the department and during their interactions with the public. During her law enforcement career, Ms. Hicks was nominated as Police Association President, a volunteer role, where she organized a police and fire charity event to raise money and awareness for a child in her community. In her personal life, Ms. Hicks actively organizes events and projects, often surrounding military causes and children in her community.


Ms. Hicks holds a degree in Criminal Justice and her Paralegal Certification. She has also earned several advanced certifications in communications and investigations. Awards include the Police Combat Cross medal, received in May 2015, for her response and action taken during an armed assailant situation.