Provided by Calfee, Halter & Griswold LLP
Providing expert counsel to the investment management industry is in Calfee’s DNA, with the firm’s history boasting attorneys who have held the very highest positions at the SEC. Calfee's dedicated Investment Management lawyers provide exceptional service and problem-solving expertise regarding all aspects of the public and private securities markets, including asset management, wealth management, fund formation, transactional, regulatory compliance, and enforcement matters for registered and nonregistered persons.
Calfee’s Investment Management practice is comprehensive, working with a depth and breadth of financial professionals unmatched by most Midwest law firms. Clients include:
Calfee’s Investment Management attorneys offer expert counsel and support advisers in the development and administration of their compliance programs, including the creation and implementation of written policies and procedures governing all activities of the adviser and any associated funds.
The team includes five experienced Investment Management compliance professionals (not attorneys) with titles ranging from Chief Compliance Officer to Compliance Operations & Risk Consultants.
Provided by Chambers
Provided by Chambers
Calfee exceeds all expectations on diligence and we are elated with their representation of our firm. They are diligent, value-driven and we are beyond pleased with our relationship with Calfee.
They provide practical and actionable advice, as well as a thoughtful analysis of complicated issues.
Its lawyers are good sounding boards, helpful in discussions and are always quick to find time to help us. They're proactive in ensuring they provide a consistent level of service.
Members of their team serve as advisers to the SEC, which gives us an inside track as to what is going on and what is coming from a regulatory and compliance perspective.
Calfee exceeds all expectations on diligence and we are elated with their representation of our firm. They are diligent, value-driven and we are beyond pleased with our relationship with Calfee.
They provide practical and actionable advice, as well as a thoughtful analysis of complicated issues.
Its lawyers are good sounding boards, helpful in discussions and are always quick to find time to help us. They're proactive in ensuring they provide a consistent level of service.
Members of their team serve as advisers to the SEC, which gives us an inside track as to what is going on and what is coming from a regulatory and compliance perspective.
Provided by Chambers
Patrick Hayes has broad experience with financial advisers seeking advice on SEC approval.
Patrick has strong technical knowledge and his general guidance is a key strength.
We continue to be impressed with his work and advocacy for his clients. He has the ability to work on complex matters and network within the industry.
His strengths are in distilling complex legal issues into easily understood, simple terms. He takes a legal perspective and distils it down into laymen's terms.
What sets him apart is the fact he is relatable. He has great interpersonal skills and a vast set of knowledge and he blends these two skill sets very well.
Patrick is a joy to work with. He is very knowledgeable and stays on top of current regulations, which gives us peace of mind.
Provided by Calfee, Halter & Griswold LLP
Arthur Hall
Brent Pietrafese
Douglas Neary
Gerald Monroe
Jennifer Vergilii
John McGuire
John Mongelluzzo
Kristofer Spreen
Michael French
Michael Hurley
Head of Department
Terrence Doyle
Thomas Welsh
Provided by Calfee, Halter & Griswold LLP
Banking, Financial Services and Insurance
Partnerships, LLCs and Joint Ventures
Private and Family Owned Businesses
Public Corporations