Adam is the Co-chair of the firm's Investment Funds Group. He focuses his practice on counseling hedge funds, private equity funds, broker-dealers, banks, and registered investment companies on regulatory and compliance issues, as well as on formation and structuring. He represents both well-established and start-up entities.
Hedge Fund and Private Equity Fund Sponsors. Adam forms and structures US and international private investment funds and advisors, including hedge funds, private equity funds, funds-of-funds, and real estate funds, and advises them on the full range of compliance and regulatory issues, including the Investment Advisers Act, Commodity Exchange Act, Investment Company Act of 1940, broker-dealer solicitation, and the JOBS Act, among other securities law issues.
Fund Investor Representation. Adam also represents numerous institutional investors in their investments into all types of funds. His LP clients include family offices, universities, and governmental institutions.
Broker-Dealer; Market Regulation. His practice in areas of broker-dealer and market regulation includes FINRA rules, net capital, custody, foreign broker-dealers, insider trading, anti-money laundering regulations, and other laws and regulations such as Regulation M, MSRB rules, and OFAC and PATRIOT Act issues.
Bank Regulatory. Adam is experienced in US bank regulatory and compliance issues as well, having counseled clients on matters regarding the Volcker Rule and other Dodd-Frank Act provisions, transactions under Sections 23A and B, credit risk policies, bank-broker dealer exceptions, and securities credit regulations. Adam was previously Senior Counsel at The Bank of New York.
Registered Investment Companies. Additionally, Adam has experience in the formation of mutual funds, serving as counsel during the formation of the funds and other business development companies and as counsel on regulatory and compliance issues thereafter.
Asset Managers. He also regularly advises asset managers and registered investment advisors on regulatory and compliance issues, and is experienced in SEC enforcement actions and investigations.
During law school, Adam served as the Notes Editor of the Columbia Law Review. Following law school, Adam clerked for Hon. Wilfred Feinberg, U.S. Court of Appeals, Second Circuit, and for Hon. Myron Thompson, Chief Judge, U.S. District Court, Middle District of Alabama.
Recognitions & Awards
- Lawyers Alliance for New York Cornerstone Award
- Empire State Counsel Honoree, New York State Bar Association
- New York City Council Proclamation Award for pro bono work
- Project Reach Youth Annual Award
Adam is the Co-chair of the firm's Investment Funds Group. He focuses his practice on counseling hedge funds, private equity funds, broker-dealers, banks, and registered investment companies on regulatory and compliance issues, as well as on formation and structuring. He represents both well-established and start-up entities.
Hedge Fund and Private Equity Fund Sponsors. Adam forms and structures US and international private investment funds and advisors, including hedge funds, private equity funds, funds-of-funds, and real estate funds, and advises them on the full range of compliance and regulatory issues, including the Investment Advisers Act, Commodity Exchange Act, Investment Company Act of 1940, broker-dealer solicitation, and the JOBS Act, among other securities law issues.
Fund Investor Representation. Adam also represents numerous institutional investors in their investments into all types of funds. His LP clients include family offices, universities, and governmental institutions.
Broker-Dealer; Market Regulation. His practice in areas of broker-dealer and market regulation includes FINRA rules, net capital, custody, foreign broker-dealers, insider trading, anti-money laundering regulations, and other laws and regulations such as Regulation M, MSRB rules, and OFAC and PATRIOT Act issues.
Bank Regulatory. Adam is experienced in US bank regulatory and compliance issues as well, having counseled clients on matters regarding the Volcker Rule and other Dodd-Frank Act provisions, transactions under Sections 23A and B, credit risk policies, bank-broker dealer exceptions, and securities credit regulations. Adam was previously Senior Counsel at The Bank of New York.
Registered Investment Companies. Additionally, Adam has experience in the formation of mutual funds, serving as counsel during the formation of the funds and other business development companies and as counsel on regulatory and compliance issues thereafter.
Asset Managers. He also regularly advises asset managers and registered investment advisors on regulatory and compliance issues, and is experienced in SEC enforcement actions and investigations.
During law school, Adam served as the Notes Editor of the Columbia Law Review. Following law school, Adam clerked for Hon. Wilfred Feinberg, U.S. Court of Appeals, Second Circuit, and for Hon. Myron Thompson, Chief Judge, U.S. District Court, Middle District of Alabama.
Recognitions & Awards
- Lawyers Alliance for New York Cornerstone Award
- Empire State Counsel Honoree, New York State Bar Association
- New York City Council Proclamation Award for pro bono work
- Project Reach Youth Annual Award
Publications
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Author,
How Can Hedge Fund Managers Identify and Navigate Pitfalls Associated with the JOBS Act’s Rollback of the Ban on General Solicitation and Advertising?, The Hedge Fund Law Report ()
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Author,
Can You Get Exempt? Legal Pro Eyes Dodd-Frank, PEHub ()
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Author,
Dodd-Frank Act Changes Affecting Private Fund Managers and Other Investment Advisers, NYSBA Inside ()
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Author,
State Securities Legend Requirements in Rule 506 Private Placement Memos, The Journal of Investment Compliance, Vol. 8, No. 4 ()
Speaking Engagements
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Speaker,
Current Issues in Making Alternative Investments,
Higher Education Taxation Institute,
University of Texas, Austin, TX
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Panelist,
Launching a New Fund Today: How to Increase Your Odds of Succeeding?,
Winter Forum on Real Estate Opportunity and Private Fund Investing,
(IMN) Information Management Network, Laguna Beach, CA
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Panelist,
Dodd-Frank/JOBS/Volcker - Regulatory Change is Coming: Understanding the Impact and What Real Estate Funds Need to Do Now,
Winter Forum on Real Estate Opportunity and Private Fund Investing,
(IMN) Information Management Network, Laguna Beach, CA
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Panelist,
Dodd Frank and Information Governance - How To Get Your Organization Ready,
The 2012 National Law Journal Regulatory Summit,
The National Law Journal & Legal Times, Washington, DC
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Speaker,
Tax Issues With Private Equity Management Fee Waivers,
Strafford Publications, Webinar
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Speaker,
Navigating Capital Raising Under a New Regulatory Landscape,
Private Equity Fund Formation Trends in 2012,
Strafford Publications, Webinar
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Speaker,
Understanding the Volcker Rule: Covered Funds and Proprietary Trading Prohibitions,
New York, NY
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Speaker,
The New Volcker Rule: Bank Trading and Investing Requirements,
National Business Institute,
Webinar
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Speaker,
The JOBS Act and Its Implications for Hedge Funds,
Infovest21,
New York, NY
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Speaker,
Volcker Rule Demystified,
The Knowledge Congress, Webinar
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Speaker,
Dodd-Frank and Other Changes Affecting Private Funds,
New York, NY
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Speaker,
Asset Raising Issues and Investor Relations,
Infovest21,
New York, NY
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Speaker,
Impact of Dodd-Frank Act on Hedge Funds and Funds of Funds,
Infovest21,
New York, NY
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Speaker,
2010 North American Financial Service Sector Outlook,
mergermarket/Merrill DataSite, Webinar
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