Bio

Jim’s practice covers a broad range of clients and aspects of the investment management industry. He works with institutional investors, investment managers, broker-dealers and private fund sponsors in all manner of securities, corporate and governance matters and transactions. Jim’s clients rely on his expertise in areas such as private fund formations, U.S. private securities offerings, domestic and offshore investments, investment adviser and broker dealer formations and registrations, as well as compliance with U.S. securities laws and the regulations adopted by the U.S. Securities and Exchange Commission, the Commodities Futures Trading Commission, FINRA and various other federal and state securities regulators. Jim serves as investment counsel to several state and municipal public pension funds across the United States and provides counsel regarding U.S. and international investments, secondary market transactions, negotiation of investment management, custodial and brokerage agreements, as well as advice on investment related issues, such as internal compliance processes, insight into developments in securities law and regulations, and investment-related fiduciary and governance matters. He has also counseled private fund sponsors in the U.S. and across the globe on a wide range of corporate and legal compliance matters, including structuring and formation of U.S. and international private investment funds, exemptions from adviser and offering registrations under U.S. securities laws, preparation of fund governing and offering documents, marketing and placement agent arrangements, co-investment arrangements, secondary transfers and internal compliance matters. Finally, Jim works with a variety of wealth and asset managers, investment advisers and broker-dealers, and placement agents and M&A brokers on formations, preparation of client and customer account agreements, registration and compliance under U.S. federal and state securities laws and regulations, SEC inquiries and exams, representative transitions under the Protocol for Broker Recruiting and mergers and acquisitions. Jim is an active member of the investment management community, frequently publishing articles and speaking on panels addressing issues effecting his clients. He is a member of the Hedge Fund Association (HFA) and a leader on its Regulatory and Government Committee. Jim is also the chair of the Securities Regulation Working Group for the National Association of Public Pension Attorneys (NAPPA) and a member of the National Council on Teacher Retirement (NCTR). He has published articles and been quoted in such publications as Investment News, Pensions & Investments, the NAPPA Report and Investment Advisers Association Newsletter. Jim frequently speaks on panels and participates in webinars addressing various investment management and regulatory compliance issues, and is a guest lecturer at The George Washington University School of Business.