Top 10 Influential US Investment Funds Compliance Lawyers of 2023 Unveiled

The United States boasts some of the most reputed Investment Funds: Regulatory & Compliance lawyers. These professionals play a crucial role in guiding investment managers and financial advisors through legal issues related to investment funds and securities. Their vast knowledge of regulatory affairs, securities regulations, and compliance issues ensures that investment funds are attuned to the legal environment of the financial industry.

With their high level of experience, they are able to provide detailed advice to both traditional and alternative investment fund managers on a range of issues. They help strategize and execute investments, ensuring they are in line with federal securities laws and regulations. Their expertise in CFTC, SEC and ’40 Act compliance is sought after by many in the industry.

In this article, we are going to showcase some of these distinguished law practitioners in the USA. We have put together a list of popular investment fund lawyers and detailed description of their experience and capabilities in the field. Find links to the respective law firm websites for more details on their legal services.

Patricia Poglinco

Currently working with Seward & Kissel LLP, Patricia Poglinco has carved a niche for herself in the market with her extensive knowledge of the Commodity Futures Trading Commission (CFTC). Patricia advises investment managers on a myriad of issues including new investments made by limited partners. She’s highly reputable in the field of private fund practices.

Alpa Patel

Based at Kirkland & Ellis, Alpa Patel is a specialist in dealing with regulatory issues related to real estate and hedge funds. She is known for her expertise in SEC examinations and enforcement actions.

Jessica Forbes

Jessica Forbes of Fried, Frank, Harris, Shriver & Jacobson LLP has a reputation for guiding hedge funds through securities regulations. She is well-versed with compliance issues under the ’40 Act.

Joel Wattenbarger

A member of Ropes & Gray LLP, Joel Wattenbarger has comprehensive knowledge of the SEC and CFTC regulatory issues related to hedge and venture capital funds.

Justin Browder

Justin Browder, based at Willkie Farr & Gallagher LLP, is adept at advising asset managers on regulatory and operational issues as well as federal securities matters.

Leigh Fraser

Also a part of Ropes & Gray LLP, Leigh Fraser leverages her expertise in securities regulation in advising hedge funds. Her versatility in managing ongoing compliance advice and launching funds using varying structures and strategies is highly lauded.

Whitney Chatterjee

With a role in Apollo Global Management, LLC, Whitney Chatterjee is known for advising funds in dealing with the complexities of the Volcker Rule.

Patrick Hayes

Patrick Hayes, from Calfee, Halter & Griswold LLP, has a wide range of experience in advising financial advisers seeking advice on SEC approval.

Brynn Peltz

Representing Goodwin, Brynn Peltz is cherished for her incredible understanding of SEC examinations and the regulations guiding registered funds.

Elizabeth Shea Fries

Elizabeth Shea Fries is greatly respected for her comprehensive knowledge regarding the establishment and operation of hedge funds. Her firm, Sidley Austin LLP, does not currently have a website listed.