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DateTitleKnowledge Type
01 November 2017
In Re ProShares: Second Circuit Deprives Investors of Meaningful Disclosures
Source: Wake Forest Journal of Business and Intellectual Property Law
13 October 2017
Regulation S-K Amendments Promise FAST Relief for Advisers and Funds
Source: JD Supra
14 July 2017
Broker-Dealers and Investment Advisers Exempted from CFPB’s Arbitration Agreement
Source: JD Supra
09 June 2017
Fiduciary Rule: June 9 & Beyond Legal Alerts
05 April 2017
SEC Issues Custody Rule Guidance Legal Alerts
18 August 2016
Political Rhetoric and Hedge Fund Regulation
Source: The Huffington Post
22 December 2015
Comprehensive Partnership Audit Reform Requires Amendments To Partnership (and LLC Operating) Agreements Legal Alerts
17 November 2015
SEC Adopts Final Crowdfunding Rules Legal Alerts
18 June 2015
SEC Proposes Changes to Form ADV Legal Alerts
18 May 2015
June 30th Deadline for Foreign Bank Account Reporting to IRS Legal Alerts

Investment Management

Experience Highlights

Representing investment manager in structuring investment vehicles
Representing and advising a $1 billion investment manager in structuring privately-offered domestic and offshore investment vehicles. more
Investment management advice for United Capital Financial Partners, Inc.
Advised United Capital Financial Partners, Inc., a financial services industry consolidator, on various acquisition and investment management matters. more
Registered INHAM adviser to major U.S. timber producer
Represented registered corporate "INHAM" adviser to a major U.S. forest products manufacturer. Ongoing representation of INHAM more
Mutual fund family representation
Providing counsel to the registered investment adviser of a multi-billion dollar real estate investment company and its index mutual fund family. more

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