Focus Areas
- Represents mutual funds and ETFs.
- Regulatory review and negotiation of private fund investments for investment advisers and institutional investors.
- Serving as chief compliance officer for a registered investment adviser.
- Registering investment advisers with the SEC and individual states.
- Representing alternative registered funds, including closed-end interval funds and closed-end tender offer funds.
- Representing a variety of private funds and private fund advisers.
- Representing issuers in private offering of unregistered securities.
- Counseling on the organization of investment advisers and registered funds, including the organization and registration of investment companies, drafting of all fund offering documents and preparation of required materials and approvals for board meetings; providing ongoing administration of investment companies; and compliance review and advice.
- Advising on a broad range of merger and acquisition transactions, ranging from very large transactions such as the acquisition and financing of professional sports franchise to the acquisition and sale of a variety of closely held and emerging enterprises.
- “Tax Court Addresses Limited Partners’ Self-Employment Tax Status,” Thompson Hine Tax Update, December 2023
- “SEC Adopts New Rules for Private Fund Advisers,” Thompson Hine Investment Management Update, September 2023
- “NY Decision Sparks a Ripple Effect Across the Digital Assets Investment Industry,” Thompson Hine Blockchain & Cryptocurrencies Alert, July 2023
- “SEC’s Recent Lawsuits Signal Heat Wave in Crypto-Winter,” Thompson Hine Blockchain & Cryptocurrencies Alert, June 2023
- “New SEC Marketing Rule FAQ Addresses Gross and Net Returns in Certain Private Fund Performance Advertising,” Thompson Hine Investment Management Update, January 2023
- “FTX Founder Arrested, Faces Indictment in SDNY,” Thompson Hine Blockchain Alert, December 2022
- “SEC Proposes Amendments to Form PF,” Thompson Hine Investment Management Update, March 2022
- “SEC Expands Accredited Investor and Qualified Institutional Buyer Definitions,” Thompson Hine Investment Management Update, September 2020
- “Volcker Rule Changes Will Expand Banks’ Investment Abilities,” Thompson Hine Investment Management Update, July 2020
- “SEC Sues Convertible Debt Lender for Alleged Registration Violation,” Thompson Hine Investment Management Update, March 2020
- “SEC Proposes to Refine ‘Accredited Investor’ Definition to Increase Investment Access,” Investment Management Update, February 2020
- “SEC Pursues Unregistered Adviser to Private VC Funds,” Thompson Hine Investment Management Update, February 2020
- “SEC Adopts Regulation Best Interest and Other Measures for Broker-Dealers and Investment Advisers,” Thompson Hine Investment Management Update, June 2019
- “SEC Grants No-Action Relief for Initial Coin Offering,” Thompson Hine Investment Management Update, April 2019
- Featured, “Top 10 Compliance Trends,” Market Matters Podcast, May 2018
- Featured, “The Lawyers Calling the Shots in the Crypto World,” The Information, February 2018
- “Angel Investing on the Rise: Legal Considerations for the Formation of an Angel Fund,” Thompson Hine Business Law Update, Summer 2017
- Featured, “How to Prepare for an SEC Exam,” Market Matters Podcast, August 2017
- Featured, “Annual Update of Form ADV,” Market Matters Podcast, March 2017
- “Investment Company Reporting Modernization,” Thompson Hine Investment Management Update, November 2016
- “Funds Must Disclose Risks Related to Current Market Conditions,” Thompson Hine Investment Management Update, March 2016
- “New AML Regulations Proposed for Certain Investment Advisers,” Thompson Hine Investment Management Update, October 2015
- Co-presenter, “Interviewing for a Board Seat,” Thompson Hine Investment Management Coffee Chat Webinar Series, April 2024
- Co-presenter, “Evolving Legal Practice: Shaping the Future of Law through Tech Innovation,” Thompson Hine Investment Management Coffee Chat, March 2024
- Co-presenter, “Designing Your Strategic Plan for Getting on a Registered Fund Board,” Thompson Hine Investment Management Coffee Chat Webinar Series, January 2024
- Co-presenter, “Understanding Custody: Practical Examples of SEC’s Findings Relating to Private Funds, Third Party Vendors, and more!” Comply Connect Conference, November 2023
- Co-presenter, “Who Will Win the Crypto/SEC Tug of War?” Thompson Hine Investment Management Coffee Chat Webinar Series, November 2023
- Co-presenter, “Critical Skills for High-Performance Compliance Professionals: Closing the Circle: Matching Advertising, Contract, Disclosures and Procedures,” Comply Connect Conference, July 2023
- Co-presenter, “Form ADV Part 1: Annual Updating Amendment and More,” Comply Connect Conference, July 2023
- Presenter, “Hello from the Metaverse: Is Anybody Out There?” Thompson Hine Webinar, February 2023
- Panelist, “Developing Policies and Procedures for Cryptocurrency,” Comply Connect Conference, November 2022
- Panelist, “Drafting Disclosures and Marketing Materials: Shifting Standards and New Challenges,” Comply Connect Conference, November 2022
- Panelist, “The Shifting Regulatory Landscape,” North Capital Partner Summer, October 2022
- Panelist, “Crypto Currency/NFT – What’s on the Digital Horizon?” Thompson Hine Premier Client Summit, May 2022
- Presenter, “ERISA Update for Investment Advisers and Fund Managers, Thompson Hine Investment Management Coffee Chat Webinar Series, January 19, 2022
- Presenter, “Crypto Update: What Was Included in the Infrastructure Bill?” Thompson Hine Investment Management Coffee Chat Webinar Series, October 13, 2021
- Presenter, “Form ADV – 2021 Updates and Considerations,” Thompson Hine Investment Management Coffee Chat Webinar Series, February 26, 2021
- Presenter, “Cryptocurrency Products: State of Play,” Thompson Hine Investment Management Coffee Chat Webinar Series, February 3, 2021
- Panel Member, “It’s A New Day, Conflicts Part I,” Webinar, August 2020
- “Ensuring Blockchain and Crypto Compliance for Your Business,” Finding Genius Podcast
- Panel Member, Thompson Hine 11th Annual Hedge Fund Conference, New York, October 2018
- Panel Member, Gemini Thought Leadership Boston Influencer Conference, November 2018
- Presenter, Thompson Hine Qualified Opportunity Zones Briefing, Cleveland, December 2018
- Presenter, Understanding Cryptocurrency as an Asset Class, Greater Cincinnati Mutual Fund Association, March 5, 2018
- Presenter, Blockchain and Cryptocurrency: What are they and why should you care? Financial Executives International, Committee on Corporate Reporting, March 2018
- Presenter, Compliance Workshop, Greater Cincinnati Mutual Fund Association, June 6, 2017
- Panel Member, “Distribution in Guise and Issues Impacting Transfer Agents,” Ultimus Client Summit, 2016
- Mutual Fund Compliance Programs Conference, Investment Company Institute, Washington, DC; May 7, 2015
- GCMFA Compliance & Operations Workshop, June 16, 2015
- Panel Member, “Regulatory Roundtable,” Ultimus Client Summit, 2014
- Panel Moderator, “Women in Hedge Funds,” Thompson Hine 10th Annual Hedge Fund Seminar, New York; October 15, 2014
- “Why Launch A Registered Fund?” Thompson Hine Hedge Fund Conference, New York, October 2013
- “Advancing Fund Governance Presentation,” Xavier University; October 24, 2013
- “Regulatory & Compliance Issues Confronting Hedge Funds Today,” Thompson Hine Hedge Fund Event, New York; October 17, 2013
- Panel Member, “Regulatory Hot Topics That Could Impact Your Business,” Ultimus Client Summit, 2013
- “The Changing Landscape for Investment Advisers,” Cincinnati, May 2012
- Listed in Legal 500 in Investment Fund Formation and Management, 2018, 2019 and 2023
Professional Associations
- Greater Cincinnati Mutual Funds Association, President
- Aviatra Accelerators, Board Member
- Arizona Venture Capital Conference, team member, 2000 to 2002
- Kentucky State Bar Association
- The Indus Entrepreneurs (TiE) Phoenix Chapter, 2000 to 2002
- Arizona State Bar Association, 1999 to 2005
Community Activities
- WE Lead 2017, Cincinnati Chamber of Commerce
- Villa Madonna Academy Fine Arts Patrons, 2010 to 2023
Education
- University of Cincinnati College of Law, J.D., 1995, with honors
- Thomas More College, B.A., 1992, magna cum laude
Bar Admissions
- Ohio
- Kentucky
- Arizona (inactive)
Select a filter
- Tax Court Addresses Limited Partners’ Self-Employment Tax Status,
Tax Update
, December 4, 2023 - SEC Adopts New Rules for Private Fund Advisers,
Investment Management Update
, September 25, 2023 - NY Decision Sparks a Ripple Effect Across the Digital Assets Investment Industry,
Blockchain & Cryptocurrencies Alert
, July 28, 2023 - SEC’s Recent Lawsuits Signal Heat Wave in Crypto-Winter,
Blockchain & Cryptocurrencies Alert
, June 20, 2023 - New SEC Marketing Rule FAQ Addresses Gross and Net Returns in Certain Private Fund Performance Advertising,
Investment Management Update
, January 13, 2023 - FTX Founder Arrested, Faces Indictment in SDNY,
Blockchain Alert
, December 13, 2022 - SEC Proposes Amendments to Form PF,
Investment Management Update
, March 2, 2022 - SEC Expands Accredited Investor and Qualified Institutional Buyer Definitions,
Investment Management Update
, September 14, 2020 - Volcker Rule Changes Will Expand Banks’ Investment Abilities,
Investment Management Update
, July 1, 2020 - SEC Sues Convertible Debt Lender for Alleged Registration Violation,
Investment Management Update
, March 4, 2020