Stephen is responsible for the management and implementation of all legal and regulatory operations in the U.S. He has been practicing securities, general corporate, and finance law since 2000, first in private practice for nine years and then in-house as a General Counsel and Chief Compliance Officer.
Stephen’s experience encompasses private and public fund formation and operation, regulatory compliance for investment advisers, mutual funds and broker-dealers, private equity financing, mergers and acquisitions, general corporate law, secured lending, and bankruptcy.
Stephen is a frequent speaker at industry conferences and on webinars dealing with regulatory and compliance issues facing SEC-registered investment advisers and CFTC-registered commodity pool operators. Stephen has also served as an Adjunct Professor of Law at Fordham University School of Law, where he taught a class on investment adviser and hedge fund regulation from 2012 – 2015.
Prior to joining Fiera, Stephen was the General Counsel and Chief Compliance Officer at Larch Lane Advisors. Prior to joining Larch Lane, he was a senior associate at Dechert LLP in its Financial Services and Investment Management group.
Stephen received a JD/MBA from Boston College in 2000. He is a member of the Bars of New York and Massachusetts.