Tom joined Ropes & Gray's Asset Management Practice in 2022 following his long tenure as in-house counsel and chief legal officer for funds, their investment advisers/administrators and broker-dealer distribution firms, as well as in business leadership roles as Head of the US Funds business for a global asset manager and Trustee, President & CEO of its registered fund complex. Tom’s practice focuses on representing open- and closed-end registered investment companies, investment advisers, broker-dealers and fund directors on a wide variety of matters around the life cycle of fund products, including regulatory, transactional, compliance and new product development. He possesses extensive experience in the operations of fund sponsors' legal, compliance, administration and product management teams and has spent years advising senior management of these firms on regulatory, litigation and board relations matters.
- Led a global asset manager’s relationship with its fund boards, with responsibility for the agenda content and execution of meetings.
- Managed the successful consolidation of fund boards.
- Led efforts to improve board meeting process and quality of materials to stay ahead of the curve on best practices.
- Managed teams of attorneys and paralegals with responsibility for SEC and NYSE filings for registered funds.
- Led compliance for a global asset manager covering all lines of business across multiple offices nationally.
- Panelist, "Alert Level Red, Yellow, or Green: Where to Focus in Current Environment," Mutual Funds and Investment Management Conference, Palm Desert, California (2017)
- Panelist, "Regulatory Developments Affecting Funds," Mutual Funds Compliance Programs Conference, Washington, D.C. (2015)
- JD, dean's list, St. John's University School of Law, 1996
- BA (Political Science), dean's list, University of Rochester, 1990
Admissions / Qualifications
- New York, 1997