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Professional background
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Focus Areas

  • Advising ETFs, ETPs, mutual funds, closed-end funds and investment advisers on securities, foreign regulatory, compliance, SOX, privacy, cybersecurity and corporate governance issues
  • Drafting and filing Form N-1As, S-1s, board materials, proxy statements, exemptive applications, anti-money laundering and other compliance procedures, Form ADVs and hedge fund documents
  • Advising investment companies and their service providers on adapting blockchain technologies including smart contracts
  • Establishing and structuring wrap fee programs including all contractual, disclosure and compliance documents
  • Listing ETFs and ETPs on exchanges and obtaining 19b-4 orders
  • Reviewing fund and adviser marketing materials and social media
  • Developing and structuring investment funds and products including mutual funds, ETFs, ETPs, listed and unlisted closed-end funds, and multi-manager and master-feeder funds
  • Representing fund boards of directors
  • Advising adviser and fund chief compliance officers on structuring compliance programs, drafting compliance procedures and preparing annual compliance reports
  • Guiding operating companies confronting inadvertent investment company issues
  • Panelist, “Pardon Our Interruption: A Rapid-Fire Discussion of Issues and Trends the ETF Industry Will Face in 2023, ETF BILD Project Webinar, January 2023
  • Presenter, “Converting a Mutual Fund to an ETF: Transparent or Semi-Transparent Portfolio and Other Key Decisions,” Thompson Hine Investment Management Coffee Chat Webinar Series, April 7, 2021
  • Presenter, “Bitcoin ETPs and Existing Alternatives,” Thompson Hine Investment Management Coffee Chat Webinar Series, February 10, 2021
  • Speaker, “The Global ETP Market Place Evolution,” 13th Annual ETF Global Awards, New York, New York, April 20, 2017
  • Speaker, “Fund Anatomy,” Basics of Mutual Funds and Other Registered Investment Companies 2017, New York, New York, April 20, 2017
  • Speaker, “Seizing Opportunities in the ETF Marketplace,” Webinar, December 1, 2016
  • Speaker, “Understanding the Current ETF Regulatory Climate,” 3rd Annual ETF Boot Camp, New York, New York, September 29-30, 2016
  • Speaker, “Basics of Mutual Funds and Other Registered Investment Companies 2015,” Practising Law Institute webinar, April 30, 2015
  • Panelist, “Disclosures: Tips to Stay Compliant and Every Day Tripwires to Avoid,” IA Compliance Best Practices Summit 2014, March 21, 2014
  • Speaker, “The SEC’s New Identity Theft Red Flags Rules: Guidance to Create Your Program Before the New Reg SID Deadline,” IA Watch webinar, May 21, 2013
  • Speaker, “Basics of Mutual Funds and Other Registered Investment Companies 2013,” Practising Law Institute, April 24, 2013
  • Panelist, “ETP Overview and Structure,” 9th Annual Global ETF Awards, April 18, 2013
  • Speaker, “Mutual Fund Anatomy – Role of the Board and the Adviser,” Practising Law Institute’s Fundamentals of Mutual Funds and Exchange-Traded Funds 2012, June 6, 2012
  • Selected for inclusion in The Best Lawyers in America® 2023 and 2024 for Mutual Funds Law
  • Recommended in The Legal 500 in Mutual/Registered/Exchange-Traded Funds, 2018-2024

Professional Associations

  • American Bar Association
  • District of Columbia Bar Association, Investment Management Committee

Community Activities

  • Anne Arundel County Citizens Transportation Commission


  • University of Virginia School of Law, J.D., 1988
  • Vanderbilt University, B.A., 1984,
    magna cum laude

Bar Admissions

  • District of Columbia
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