Investment Adviser Association
The Investment Adviser Association is a not-for-profit association that exclusively represents the interests of federally registered investment advisory firms. Founded in 1937, the Association played a major role in the enactment of the Investment Advisers Act of 1940.
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Investment Adviser Association Employees
Mayer Brown September 2008 - Present
Investment Adviser Association June 2006 - July 2008
Skills
Securities Regulation, Corporate Law
Education
The George Washington University Law School 2005 — 2008
J.D.
The University of Connecticut 2001 — 2005
B.A., Political Science
Investment Adviser Association January 2011 - Present
Independent Law Practice 2005 - January 2011
Investment Company Institute 1999 - 2005
US Securities and Exchange Commission 1997 - 1998
Gibson Dunn & Crutcher 1990 - 1991
Skills
ERISA, Investment Management..., Mutual Funds, Alternative Investments, International Law, Code of Ethics, Compliance, Investment Management, Retirement, Securities Regulation, Corporate Law, Securities, Investment Advisory, Due Diligence
Education
The College of William and Mary - Marshall Wythe Law School 1977 — 1980
J.D.
Lebanon Valley College 1973 — 1977
B.S., Actuarial Science, Economics
Lampeter-Strasburg High School
Mayer Brown December 2014 - Present
Cadwalader, Wickersham & Taft LLP October 2012 - December 2014
Investment Adviser Association March 2012 - July 2012
Cadwalader, Wickersham & Taft LLP May 2011 - August 2011
US Securities and Exchange Commission 2010 - 2010
Sidley Austin June 2009 - July 2009
Skills
Legal Research, Corporate Law, Legal Writing, Corporate Finance, Capital Markets, U.S. Securities and..., Legal Advice, Cross-border..., Securitization, Corporate Governance, International Law, Due Diligence, Securities Regulation, Joint Ventures, Mergers & Acquisitions, Securities, Private Equity, Intellectual Property, Commercial Litigation, Humor
Education
Georgetown University Law Center 2008 — 2011
J.D., Law
Boston University 2008 — 2008
Peking University 2004 — 2008
LL.B., Law
Investment Adviser Association December 2014 - Present
Investment Adviser Association August 2013 - December 2014
EatYoBeats.com February 2013 - August 2013
Matzah Ball Productions September 2007 - August 2011
Matzah Ball Productions January 2009 - December 2010
Matzah Ball Productions March 2008 - March 2008
Skills
Marketing, Sales, Social Media, Customer Service, Email Marketing, Leadership, QuickBooks, Accounting, CRM, Financial Management, NetForum, Batch Reconciliation, Managerial Finance, Public Relations, SEO, Social Networking
Education
George Mason University - School of Management 2011 — 2013
Bachelor's degree, Marketing, Alumni
Northern Virginia Community College 2009 — 2011
Associate of Science (A.S.), Business Administration and Management, General, Alumni
Investment Adviser Association May 2015 - Present
District of Columbia Government, Office of the Chief Financial Officer, Office of General Counsel January 2015 - May 2015
U.S. Securities and Exchange Commission, Trading & Markets, Office of Market Supervision September 2014 - December 2014
The Honorable Robert Mazzoni, Pennsylvania Court of Common Pleas May 2014 - August 2014
Salisbury University, Office of Publications February 2013 - May 2013
Salisbury University, University Writing Center September 2012 - May 2013
Fieldworks LLC June 2012 - August 2012
Office of the District Attorney, Lackawanna County May 2011 - August 2011
Skills
Outlook, Westlaw, Lexis, HTML, Microsoft Excel, Text Editing, Proofreading, English grammar, Legal Writing, Technical Writing, Creative Writing, Microsoft Expression, AP Style, Bluebook, Microsoft Office, Microsoft Publisher, Legal Research, Rhetorical Analysis, MLA style, Secondary Research, Social Media, Field Work, Microsoft Word, LexisNexis
Education
The Catholic University of America, Columbus School of Law 2013 — 2016
Salisbury University 2009 — 2013
Bachelor of Arts (B.A.), Rhetoric and Composition/Writing Studies
NPHS
Davis Polk & Wardwell LLP August 2014 - Present
Investment Adviser Association May 2014 - July 2014
University of Michigan Law School January 2014 - May 2014
Federal Deposit Insurance Corporation June 2013 - August 2013
University of Michigan Law School October 2012 - December 2012
World Health Organization May 2012 - August 2012
Education
University of Michigan Law School 2011 — 2014
Doctor of Law (J.D.)
Hamilton College 2006 — 2010
Bachelor of Arts (B.A.), Political Science and Sociology
Stuyvesant High School 2002 — 2006
High School Diploma
Doble Engineering Company 2013 - Present
Thermo Fisher Scientific (Life Technologies) August 2008 - March 2012
Leonie December 2007 - August 2008
MedStar Health July 2006 - December 2007
Investment Adviser Association August 2004 - July 2006
Givaudan Flavours Corp 2000 - 2003
Skills
Clinical Trials, Sop, Contract Negotiation, Contract Management, Contractual Agreements, Clinical Research, Project Management, Budgets, Product Development, Proposal Writing, Process Improvement, Marketing, Pharmaceutical Industry, Biotechnology, Product Marketing, Program Management, Management, Cross-functional Team..., Strategic Planning, Analysis, Leadership
Education
The Johns Hopkins University - Carey Business School 2006 — 2008
Master of Business Administration (MBA), MBA
University of Lodz 2001 — 2003
Master of Science, Management; Corporate Management
ABM Industries, Inc. December 2009 - Present
Houston Endowment Inc April 2014 - Present
Silver Ventures July 2012 - Present
Salient Partners May 2012 - Present
Ascendant Advisors, LLC January 2010 - Present
Bamberger Ranch Preserve September 2013 - Present
University of Texas Investment Management Co. 2004 - April 2012
Invesco AIM 2000 - 2007
Investment Adviser Association 1998 - 2007
Education
City of London College 1970 — 1970
Certificate in Int'l Law, law
The University of Texas School of Law 1967 — 1970
JD
Texas Christian University 1963 — 1967
Bachelor of Business Administration (BBA)
Investment Adviser Association August 2015 - Present
Stradley Ronon May 2015 - July 2015
U.S. Securities and Exchange Commission January 2015 - April 2015
Montgomery County State's Attorney's Office April 2014 - August 2014
University of Kentucky 2011 - 2013
Fayette Commonwealth's Attorney's Office August 2012 - December 2012
Skills
Legal Research, Legal Writing, Public Speaking, Social Media, Essays, Public Policy, Politics, Political Science
Education
The Catholic University of America, Columbus School of Law 2013 — 2016
Juris Doctor (J.D.), Law, 2L
University of Kentucky 2009 — 2013
Bachelor of Arts (B.A.), Political Science, English
Investment Adviser Association April 2015 - Present
National Press Club January 2013 - Present
CommCore Consulting Group 2011 - April 2015
Perone Communications & Consulting August 2010 - April 2015
Financial Industry Regulatory Authority March 2004 - August 2010
US Securities and Exchange Commission November 2002 - March 2004
American Council of Life Insurers February 1998 - November 2002
CNN January 1996 - February 1998
Freelance June 1981 - June 1997
ABC News June 1981 - January 1996
Skills
Crisis Communications, Media Relations, Corporate Communications, Public Relations, Video Production, Marketing Communications, Internal Communications, External Relations, Speech Writing, Public Affairs, Media Studies, International Relations, Broadcast, Strategic Communications, Spokesperson, Press Releases, Editing, Newsletters, Strategic Planning, Video, Publicity, Television, Marketing, Crisis Management, Storytelling, Social Media, Radio, Politics, Newspapers, New Media, Strategy, Editorial, Broadcast Journalism, Reputation Management, Magazines, Content Development, Message Development, Public Policy, Journalism, Copywriting, Interviews, Copy Editing, Blogging, Web Content, Digital Media, Leadership, Creative Direction
Education
University of Maryland College Park 1969 — 1973
B.A., Political Science
Investment Adviser Association December 2012 - Present
Fulbright & Jaworski L.L.P. (now Norton Rose Fulbright) September 2001 - December 2012
Skills
Mutual Funds, Hedge Funds, Investment Companies, Private Equity and..., Investment Advisers, Investment Company Act..., Investment Advisers Act..., Broker-dealers, Securities Regulation, Investment Advisers Act, Broker-Dealer, Corporate Law, Investment Company Act, Securities, Investment Advisory..., Mergers & Acquisitions, Corporate Governance, Capital Markets
Education
University of Pennsylvania Law School 1998 — 2001
J.D., Law
Rutgers University-New Brunswick 1994 — 1998
B.A., Psychology
NVRHS Demarest 1990 — 1994
Ropes & Gray June 2015 - Present
Investment Adviser Association October 1996 - October 2014
Committee on Energy and Commerce April 1992 - October 1996
Chambers, Conlon & Hartwell LLC January 1991 - April 1992
U.S. House of Representatives February 1989 - January 1991
U.S. House of Representatives September 1987 - January 1989
Gilmore & Bell, P.C. 1985 - 1987
Kansas Department of Transportation 1983 - 1985
Kansas Department of Transportation 1981 - 1983
Kansas Court of Appeals 1978 - 1981
Education
University of Kansas School of Law 1975 — 1978
JD, Law
University of Kansas 1974 — 1975
B.A., English
PwC October 2013 - Present
Investment Adviser Association January 2013 - October 2013
US Securities and Exchange Commission September 2012 - December 2012
The Financial Services Roundtable May 2012 - August 2012
Patton Boggs LLP May 2011 - September 2011
Skills
Legal Research, Spanish, Legal Writing
Education
The George Washington University Law School 2010 — 2013
Juris Doctor
Brigham Young University 2003 — 2009
B.A., Latin American Studies
Dechert LLP September 2011 - Present
Investment Adviser Association October 2010 - August 2011
United States District Court for the Southern District of West Virginia May 2008 - August 2008
Education
Georgetown University Law Center 2010 — 2011
LLM, with distinction, Securities & Financial Regulation
Boston University School of Law 2007 — 2010
JD, cum laude
Case Western Reserve University 2004 — 2006
MS, Mathematics
Case Western Reserve University 2000 — 2004
BA, Mathematics, Magna Cum Laude, Phi Beta Kappa
Davis Graham & Stubbs LLP April 2014 - January 2015
Dechert LLP September 2011 - April 2014
Investment Adviser Association January 2011 - August 2011
Georgetown Law August 2009 - June 2010
Drinker Biddle and Reath, LLP May 2009 - August 2009
The Human Rights Institute at Georgetown Law May 2008 - August 2008
Ayuda, Inc January 2006 - August 2006
Skills
Investments, Due Diligence, Legal Assistance, Corporate Governance, Nonprofits, Immigration Law, Securities, Legal Writing, Securities Regulation, Policy, Research, Economics, Financial Services, Corporate Law, Public Speaking, Legal Research
Education
Georgetown University Law Center 2010 — 2010
LL.M, Securities and Financial Regulation
Georgetown University Law Center 2007 — 2010
J.D., Corporate Law
The George Washington University 2003 — 2007
B.A. cum laude, Business Administration, Marketing, French
Shawnee High School
RS Investments July 2014 - Present
BlackRock June 2011 - July 2014
Potomac River Capital LLC January 2010 - June 2011
Investment Adviser Association 2009 - 2009
Dechert LLP 2003 - 2009
Skills
Hedge Funds, Securities Regulation, Securities, Derivatives, Mutual Funds, Investment Management, Private Equity, Alternative Investments, Capital Markets, Litigation, Asset Managment, Options, Financial Regulation, Private Equity Funding, Corporate Governance, Corporate Law, Due Diligence, Joint Ventures, Corporate Finance, Legal Research, Mergers, Dodd-Frank, Investments, Financial Services, Prime Brokerage, ISDA, Structured Products, Fund Of Funds, ETFs, Equities, Investment Advisers Act, Fixed Income, Acquisitions, Legal Compliance, Securities Lending, Credit, Swaps, Broker-Dealer, Credit Derivatives, Financial Markets, Securities Offerings, Leveraged Finance, SEC, Equity Derivatives, Private Placements, Investment Strategies, Risk Management, Investment Company Act, FX Derivatives, 1940 Act
Education
Georgetown University Law Center 2009 — 2010
Master of Laws (LL.M.) in Securities and Financial Regulation, With Distinction
Nottingham Trent University 2002 — 2003
LPC, Law
University of Bristol 1999 — 2002
LLB, Law
USAA March 2013 - Present
Allen & Overy February 2012 - February 2013
Sutherland Asbill & Brennan LLP September 2005 - February 2012
U.S. Securities and Exchange Commission, Office of Market Intelligence January 2005 - April 2005
Investment Adviser Association October 2004 - December 2004
City of Baltimore, Project 5000 December 2002 - August 2004
NEXTEL Communications, General Counsel’s Site Leasing Services Department October 2000 - June 2002
Skills
Compliance, Investments, Hedge Funds, FINRA, Asset Management, Private Placements, Securities Regulation, Investment Products, Annuities, Securities Law, Securities, Insurance
Education
Georgetown University Law Center 2004 — 2005
Master of Laws (LL.M.), Securities and Financial Regulation
University of Baltimore School of Law 1997 — 2000
Doctor of Law (JD), Business Law Concentration
Lynchburg College 1992 — 1996
Bachelor of Arts (B.A.), with Honors, English-- Emphasis in Writing
U.S. Securities and Exchange Commission August 2015 - Present
Commodity Futures Trading Commission January 2015 - April 2015
Investment Adviser Association September 2014 - December 2014
U.S. Securities and Exchange Commission- Office of Compliance Inspections & Examinations (IM) May 2014 - August 2014
U.S. Securities and Exchange Commission-Office of International Affairs January 2014 - April 2014
InCap Group, Inc. June 2013 - August 2013
The Court of Appeals of Maryland June 2013 - August 2013
Office of the Public Defender Maryland February 2012 - May 2012
District Court for Howard County Maryland June 2011 - August 2011
Skills
Languages, Aramaic, Hebrew, Public Interest, Westlaw, Legal Research, Legal Writing, Research, Non-profits, English, Community Outreach, Lexis
Education
The George Washington University Law School 2012 — 2015
Doctor of Law (JD), Honors
University of Maryland University College 2009 — 2011
Bachelor's degree, Politcal Science
Yeshiva College of the Nations Capital 2009 — 2011
Bachelor's degree, Talmudic Studies
Tichenor Consulting September 2010 - December 2013
Newport Board Group March 2013 - October 2013
ReGroup, LLC January 2013 - March 2013
Nuveen Investments May 2007 - August 2010
Loomis, Sayles & Company January 1996 - July 2003
Investment Adviser Association January 1996 - July 2003
Heller Ehrman 1983 - December 1995
United States Securities and Exchange Commission 1978 - 1982
Skills
Asset Management, Mutual Funds, Business Strategy, Leadership, Management, Investments, Mergers & Acquisitions, Strategy, Private Equity, Executive Management, Venture Capital, Alternative Investments
Education
Antioch University 1975 — 1978
Doctor of Law (J.D.)
University of Missouri-Columbia
Master of Arts (MA), Sociology/Demography
University of Missouri-Columbia
Bachelor of Arts (B.A.) with honors, Political Science
Ropes & Gray LLP January 2010 - Present
Investment Adviser Association September 2009 - November 2009
U.S. District Court January 2008 - December 2008
Ropes & Gray LLP May 2008 - August 2008
Congressional-Executive Commission on China February 2008 - May 2008
Absolute Quality April 1999 - June 2006
Education
CFA Institute 2009 — 2009
Passed Level 1 CFA Exam
American University 2006 — 2009
MA, International Economic Relations
American University Washington College of Law 2006 — 2009
J.D., Law
Cornell Law School 2007 — 2007
Summer Law Program, Law
Towson University 2003 — 2006
BA, Philosophy
Smoot Tewes Group September 2015 - Present
Smoot Tewes Group September 2014 - August 2015
Senate Majority PAC January 2011 - November 2014
Investment Adviser Association June 2013 - August 2014
US Securities and Exchange Commission August 2013 - December 2013
U.S. Department of Justice August 2012 - December 2012
Financial Industry Regulatory Authority June 2012 - August 2012
AFL CIO February 2012 - August 2012
House Majority PAC June 2012 - July 2012
Setti Warren for U.S. Senate April 2011 - July 2011
Skills
Politics, Public Policy, Political Campaigns, Policy Analysis, Political Communication, Non-profits, Legislative Relations, Research, Grassroots Organizing, Community Outreach, Legislative Research, Legislation, Political Science, Strategic Communications, Legal Research, Nonprofits, Grassroots
Education
The Catholic University of America, Columbus School of Law 2011 — 2014
J.D., Banking, Corporate, Finance, and Securities Law
Hamilton College 2001 — 2005
BA, Public Policy
Boston Latin School 1995 — 2001
HS
Tyco September 2014 - Present
McDermott Will & Emery January 2011 - September 2014
Investment Adviser Association September 2010 - December 2010
McDermott Will and Emery May 2009 - July 2009
Financial Industry Regulatory Authority January 2009 - April 2009
US Securities and Exchange Commission 2008 - 2008
U.S. House of Representatives July 2006 - August 2007
Skadden Arps July 2005 - June 2006
Education
The George Washington University Law School 2007 — 2010
J.D., Law
Franklin & Marshall College 2001 — 2005
B.A., Government, History
Glenelg Country School
CPA Global July 2010 - Present
Investment Adviser Association May 2008 - June 2009
Brady Center to Prevent Gun Violence September 2007 - January 2008
Skills
Financial Modeling, Valuation, Bloomberg, Investment Banking, Financial Analysis, Economics, Microsoft Excel, PowerPoint, Equity Research, Equities, Research, Derivatives, Risk Management, Securities, Legal Writing, Private Equity
Education
The George Washington University Law School 2006 — 2009
Doctor of Law (J.D.)
State University of New York College at Buffalo 2003 — 2006
Bachelor of Arts
Clifford Chance US LLP September 2010 - Present
Investment Adviser Association January 2010 - September 2010
Office of the Attorney General, District of Columbia February 2009 - May 2009
Cleveland State University February 2008 - May 2009
Cleveland State University August 2008 - January 2009
Roetzel & Andress May 2008 - August 2008
City of Cleveland May 2007 - August 2007
Skills
Legal Writing, Internal Investigations, Economic Sanctions, FCPA, Alternative Dispute..., OFAC, Export Controls, Finance
Education
Georgetown University Law Center 2009 — 2010
LL.M, Securities & Financial Regulation
Cleveland State University - Cleveland-Marshall College of Law 2006 — 2009
JD, law
State University of Nizhni Novgorod named after N.I. Lobachevsky (UNN) 2000 — 2005
JD equivalent, law
Linguistics University of Nizhny Novgorod (LUNN) 2000 — 2005
Master of Arts, English and French Translation
U.S. Securities and Exchange Commission October 2012 - Present
Investment Adviser Association May 2012 - October 2012
US Securities and Exchange Commission May 2011 - August 2011
United States Attorney's Office for the District of Columbia June 2010 - August 2010
Skills
Legal Writing, Corporate Law, Research, Economics, Public Speaking, Securities, Legal Research, Legal Compliance, Regulatory Examinations
Education
University of Michigan Law School 2009 — 2012
Juris Doctor, cum laude
The George Washington University 2005 — 2009
Bachelor of Arts, magna cum laude, Political Science and Philosophy
London School of Economics and Political Science 2007 — 2008
Political Philosophy & Jurisprudence
U.S. House of Representatives, Committee on Ethics December 2014 - Present
Levi & Korsinsky, LLP August 2012 - October 2014
Investment Adviser Association January 2012 - April 2012
D.C. Office of the Attorney General May 2011 - August 2011
U.S. Securities and Exchange Commission September 2010 - December 2010
Loudoun County Circuit Court May 2010 - August 2010
K. Hovnanian Homes July 2005 - July 2009
Skills
Legal Writing, Legal Research, Event Planning, PowerPoint, Microsoft Office, Research, Editing, Microsoft Word, Microsoft Excel, Customer Service
Education
The George Washington University Law School 2009 — 2012
J.D., Law
The College of William and Mary 2001 — 2005
BBA, Finance, Russian Studies