Experience

Finn Dixon & Herling LLP

• United States
• Law Practice
• 1 - 100 Employee

• Partner (Investment Management Practice Group)

  • Jan 2007 - Present

  I am a Partner at Finn Dixon & Herling LLP, a law firm based in Stamford, Connecticut. I am member of the firm’s Investment Management Practice Group. My practice focuses on advising clients regarding: the structuring, formation and operations of investment advisers, broker-dealers, investment funds, commodity pool operators and third party marketers; SEC registration, FINRA membership and other licensing matters; the development and implementation of compliance programs and procedures; ongoing compliance matters; regulatory examinations; investment management and subadviser agreements; marketing and distribution arrangements; seed investment transactions; joint ventures; swap and other derivative transactions; marketing and advertising materials and practices; and manager due diligence practices. I am a frequent lecturer on a variety of matters at industry conferences and events. My firm's web site is: www.fdh.com.



Connecticut Hedge Fund Association

• United States
• Financial Services

• Director

  • Jul 2012 - Present



Investment Management Boutique Law Firm

• Member, Co-Founder

  • Aug 1996 - Jan 2007

  I co-founded this law firm, which was located in Fairfield County, Connecticut. The firm specialized in the representation of hedge funds, funds of hedge funds, investment advisers, broker-dealers and third-party marketers. I co-founded this law firm, which was located in Fairfield County, Connecticut. The firm specialized in the representation of hedge funds, funds of hedge funds, investment advisers, broker-dealers and third-party marketers.



Winthrop Stimson Putnam & Roberts

• Associate

  • 1993 - Jul 1996



Rogers & Wells

• Australia
• Hospitals and Health Care

• Associate

  • Sep 1990 - 1993