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Aaron Humes is a seasoned attorney with expertise in fund formation, investment management, and securities law. He has experience working with private funds, hedge funds, and commodity trading advisors. He holds a JD from Georgetown University Law Center and various industry certifications.

Credentials

  • Series 65
    NASAA
    Oct, 2021
    - May, 2026
  • Securities Industry Essentials
    FINRA
    Jul, 2021
    - May, 2026
  • Series 34
    National Futures Association
    Jul, 2021
    - May, 2026
  • Series 3
    National Futures Association
    Mar, 2021
    - May, 2026
  • CFA Exam - Passed Level I
    CFA Institute
    Dec, 2018
    - May, 2026
  • Attorney
    State Bar of California
    Dec, 2010
    - May, 2026

Experience

  • Cole-Frieman & Mallon LLP
    • San Francisco Bay Area
    • Fund Formation & Investment Management Attorney
      • Nov 2021 - Present
      • San Francisco Bay Area

      Represent private funds investing in digital assets and traditional markets. Advise fund sponsors on structuring, forming, and operating hedge funds, venture funds, funds-of-funds, and special purpose vehicles. Counsel investment managers on SEC and CFTC registration, exemptions, and regulatory inquiries.

  • Sphaera Capital Management LLC
    • San Francisco Bay Area
    • Founder, Managing Member, Portfolio Manager
      • Mar 2021 - Nov 2021
      • San Francisco Bay Area

      Started a commodity trading advisor registered with the Commodity Futures Trading Commission and a member of the National Futures Association. Ran a concentrated, discretionary macro strategy for proprietary account.

  • Stradling Yocca Carlson & Rauth
    • San Francisco Bay Area; Newport Beach, CA
    • Special Counsel, Litigation Associate, Corporate Associate
      • Oct 2010 - Mar 2021
      • San Francisco Bay Area; Newport Beach, CA

      Defended public companies and officers and directors in securities class actions, including at the appellate level in the Fourth and Ninth Circuits. Also represented clients in complex business litigation and in government and internal investigations. Began career as corporate associate.

  • Latham & Watkins
    • Greater Los Angeles Area; Washington D.C. Metro Area; San Francisco Bay Area
    • Business Development Research Specialist
      • Dec 2005 - Oct 2010
      • Greater Los Angeles Area; Washington D.C. Metro Area; San Francisco Bay Area

      Composed descriptions of firm’s antitrust, bankruptcy, finance, intellectual property, M&A, and litigation matters for marketing purposes. Compiled and calculated firm-wide practice statistics for legal publications’ industry rankings. Prepared dossiers on prospective clients.

  • Stradling Yocca Carlson & Rauth
    • Orange County, California Area
    • Summer Associate
      • Jun 2009 - Jul 2009
      • Orange County, California Area

      Worked on business formations and equity financings. Researched and wrote memoranda on corporate law, intellectual property law, employment law, civil procedure, and estate planning.

  • U.S. Congressman Brad Sherman
    • Greater Los Angeles Area
    • Constituent Services Assistant, Paid Intern, Intern
      • Jul 2003 - Dec 2005
      • Greater Los Angeles Area

      Corresponded with federal agencies regarding travel and immigrant visas, Social Security benefits, Veterans benefits, Medicare coverage, tax problems, and administrative appeals. Wrote memoranda on local issues and constituent casework. Edited letters, press releases, and mailings.

  • Sherman for Congress
    • Greater Los Angeles Area
    • Deputy to Political Director
      • Sep 2004 - Nov 2004
      • Greater Los Angeles Area

      Assisted director in running re-election campaign. Raised contributions for Congressman and other candidates in contested districts. Obtained advisory opinions from Federal Election Commission on campaign finance law. Won endorsements from federal, state, and local elected officials for use in campaign.

Education

  • Georgetown University Law Center
    Doctor of Law - JD
  • University of California, Los Angeles
    Bachelor of Arts - BA, Political Science
  • De La Salle High School
    High School Diploma

Suggested Services

This profile is unclaimed. These are suggested service rates with 0% commision upon successful connection

Industry Focus. “Law Practice”

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