Jump to:
Nathan McGuire is an associate in Ropes & Gray’s asset management group in Boston and a member of the firm’s broker-dealer team. He represents asset managers in complex transactional and regulatory matters, including mergers and acquisitions, regulatory inquiries, and federal securities law issues. Nathan’s practice focuses primarily on advising broker-dealers on rules and regulations of the SEC, FINRA, and state regulatory agencies.
Prior to joining the firm, Nathan worked at a boutique litigation firm focusing on securities litigation and white collar criminal defense matters. During law school, Nathan served as a judicial intern at the Massachusetts Appeals Court and as a note editor of the Suffolk University Law Review.
Experience
- Advises broker-dealers on Exchange Act and FINRA Rule compliance matters.
- Counsels clients on formation, registration, and expansion of broker-dealers.
- Represents broker-dealers on SEC and FINRA examinations and enforcement matters and state regulatory inquiries.
- Advises strategic and private equity buyers and sellers in asset management M&A transactions, including:
- Bain Capital in its $4.5 billion take-private acquisition of Envestnet.
- Commonwealth Financial Network, the largest independently owned wealth management firm in the country, in its sale to LPL Financial Holdings Inc.
- TPG Inc. on broker-dealer regulatory matters in connection with its acquisition of Angelo Gordon, a $73 billion alternative investment firm focused on credit and real estate investing.
- Engine No. 1 on the sale of its ETF business to TCW Group.