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 formally 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.

Mr. Ellenbogen regularly counsels financial institutions as well as 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.

EXPERIENCE

  • Weil, Gotshal & Manges LLP, Attorney
  • EnTrust Capital Inc., General Counsel and Chief Compliance Officer
  • Fulbright & Jaworski, Associate 

MEMBERSHIP AND AFFILIATIONS

  • New York State Bar Association, Business Law Section, Securities Law and Private Investment Funds committees
  • American Bar Association, Business Law Section

Education

  • New York Law School, JD, 1984
  • Pace University, MBA, 1981
  • Hofstra University, BBA, 1978

Practice Areas

Corporate

Admissions

  • New York
  • New Jersey