Richard I. Ellenbogen

Richard I. Ellenbogen engages in a general corporate practice with particular emphasis on investment adviser and investment company laws and regulations and the organization, operations and regulatory compliance of investment advisers, private equity and hedge fund managers and broker-dealers. Mr. Ellenbogen regularly counsels financial institutions, investment advisers and private fund managers including in initial organization, licensing and development of policies and procedures; substantive reviews of operating and compliance policies and procedures; regulatory examinations; mergers and acquisitions; and product development and management of securitization and other structured products.

 

Mr. Ellenbogen currently serves on a consulting basis as Counsel and CCO to two registered investment advisers; a family office that is the successor to a historic hedge fund, and a distressed arbitrage sponsor in process of winddown. Mr. Ellenbogen formerly served as the General Counsel and Chief Compliance Officer of a registered investment advisory boutique handling managed accounts, hedge funds and venture capital transactions. He has also been registered as an NASD general securities principal having passed the Series 24 and 7 examinations.