Brian P. Rafferty
Counsel
Areas of Focus
- Investment Management
- Global Investment Adviser Regulatory
- Family Office & Private Wealth
- Technology
- Fund Formation
- Private Equity
- Hedge Funds
- Credit Funds
- Real Estate & Infrastructure Funds
- Advises private equity managers, hedge fund managers, venture capital fund managers and family office clients on a broad array of matters related to regulatory, compliance and internal operational issues.
- Deep experience counseling investment managers on their obligations under the Investment Advisers Act of 1940, including the SEC Marketing Rule.
- Helps clients navigate SEC regulatory examinations.
Brian advises investment managers on a variety of regulatory, compliance and operational matters with a focus on private fund investment managers. He provides guidance to fund managers with multiple products, mapping out their regulatory compliance obligations and navigating the rules and regulations of the SEC.
Clients look to Brian for direction on the Investment Advisers Act of 1940, including compliance with the Marketing Rule, registration, review of compliance manuals and filings for Form ADV and Form PF. He works with investment managers to develop and improve their legal and compliance programs and navigate regulatory examinations.
Prior to joining Akin, Brian was a senior staff attorney in the private funds group of another international law firm.
While studying at Georgetown University Law Center, Brian was a member and senior notes editor of the Georgetown International Environmental Law Review.
EducationJ.D., Georgetown University Law Center, 2004
B.A., Johns Hopkins University, with honors, 2001
J.D., Georgetown University Law Center, 2004
B.A., Johns Hopkins University, with honors, 2001
Bar AdmissionsNew York
New York
- “Review of the SEC Advertising Rule One Year Later,” Mastering Client Services and RFPs for Institutional Investors, March 2024.
