Ryan Wheeler
Senior Managing Associate
Ryan is a senior managing associate in the Corporate Transactions & Securities practice group. He advises clients in the investment management and financial services industry with a concentration on regulatory and compliance matters related to the organization, registration and operation of investment companies and investment advisers.
Prior to joining Thompson Hine, Ryan spent 10 years with a full-service investment advisory firm. In roles including president & secretary and chief operating officer/director of operations, he managed internal risk and operational aspects related to running the firm’s platform of proprietary investment funds, including hedge funds, private capital funds and mutual funds. Ryan also was involved with operational due diligence for alternative investment funds and strategies, and for managing the client service and trading and operations processes and teams.
- “OCIE Private Fund Adviser Examinations Reveal Common Compliance Issues,” Thompson Hine Investment Management Update, June 2020
- "SEC Provides Guidance on Disclosures of Registered Investment Advisers Using Paycheck Protection Program Loans," Thompson Hine COVID-19 Update, May 2020
- “FINRA Guidance Permits Pre-Inception Index Performance Data in Fund Communications with Institutional Investors,” Thompson Hine Investment Management Update, February 2019
- “SEC Proposes New Rule for Fund of Funds Arrangements,” Thompson Hine Investment Management Update, January 2019
- “SEC Issues Risk Alert on Best Execution Practices,” Thompson Hine Investment Management Update, July 2018
- “OCIE Issues Risk Alert Regarding Advisory Fee Violations,” Thompson Hine Investment Management Update, April 2018
- Presenter, "Investment Company Derivatives Rule," Central Ohio Compliance Association, October 27, 2021
- Presenter, "ERISA’s Five-Part Investment Advice Test - The DOL Changes Course," Thompson Hine Investment Management Coffee Chat webinar series, April 21, 2021
- Panelist, "It's A New Day: Conflicts Part II," Combating Common Compliance Concerns: Webinar Series for Private Funds, August 12, 2020
Professional Associations
- Greater Cincinnati Mutual Fund Association
Professional Activities
- Adjunct professor and coach, ABA Client Counseling teams, NKU Chase College of Law
- Trustee, Greater Cincinnati Mutual Fund Association, 2016 - present
- Chartered Alternative Investment Analyst, 2009 - present