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Nicole is a partner in the asset management group. She counsels investment advisers, both registered and exempt, on a variety of regulatory matters, with a particular emphasis on the Investment Advisers Act. Nicole works with a wide array of private fund advisers, including advisers to private equity funds, hedge funds, credit funds, venture capital funds, crypto funds, and real estate funds, and also advises with respect to separately managed account relationships.
Experience
Representative experience:
- Assists private equity advisers with registering as investment advisers with the Securities and Exchange Commission and developing Advisers Act compliance programs.
- Advises clients in connection with the acquisition of investment advisers or other change of control transactions.
- Represents fund sponsors in connection with the formation of private funds.
- Counsels investment advisers in connection with SEC examinations.
- Provides ongoing regulatory support to clients as new funds or products are launched, compliance questions arise or new rules are adopted.
- Counsels clients in assessing regulatory risk in light of evolving SEC priorities and market practice.
- Advises exempt investment advisers, both U.S. and non-U.S. based, with respect to SEC registration requirements.