Charlie Humphreville is counsel in Ropes & Gray’s asset management group. He has built a robust practice serving asset managers both inside and outside the United States.
Charlie advises private fund sponsors on all aspects of their business, focusing on fund formation, management company structures, trading issues and regulatory compliance. He also advises U.S. and non-U.S. investment managers regarding the U.S. investment adviser regulatory regime, and counsels advisers on issues involved with their registration with the SEC as an investment adviser, as well as on the adoption and administration of compliance policies and procedures.
In addition, clients rely on Charlie to advise on and negotiate a wide range of contractual arrangements, such as trading agreements and other transactional documents, separate account agreements, employment and consulting agreements, service provider agreements, and side letters with investors.
Charlie’s practice also encompasses emerging issues in asset management. He advises in connection with investments in cryptocurrencies and other digital assets, and counsels financial technology companies operating in the blockchain industry.
- Advises fund sponsors regarding the formation of open- and closed-end investment funds, including in connection with “fund-of-one” and separate account arrangements, co-investment vehicles and secondary transactions.
- Assists with the implementation of compensation arrangements for principals and senior investment personnel of investment advisory firms.
- Counsels an investment adviser’s quantitative trading group on employment and consulting agreements for trading systems developers, including on provisions governing the ownership and licensing of intellectual property.
- Counsels investment advisers on registration under the Advisers Act.
- Assists both registered and exempt investment advisers with developing and administering compliance policies.