Private Fund Compliance Regulatory Forum

Michael joined Comvest Partners in 2016. He is a Partner and the General Counsel of the Firm and serves as a member of Comvest’s Executive Committee. Michael is responsible for managing Comvest’s legal and regulatory function.

Prior to joining Comvest, Michael was the general counsel and corporate secretary for a NYSE-listed finance company. Earlier in his career, he was a Director and Counsel of UBS Investment Bank, where he had legal responsibility for high-yield originations and bridge lending. Before that, Michael practiced as a securities and capital markets attorney with Latham & Watkins LLP.

Adán Araujo is the Chief Compliance Officer and Senior Managing Director of Jasper Ridge Partners and is responsible for overseeing regulatory matters. Prior to joining Jasper Ridge Partners in 2011, Adán was Senior Vice President and Chief Compliance Officer of FirstCommand Financial Services. He also served as Senior Counsel for the United States Securities and Exchange Commission, as in-house counsel at the Vanguard Group, and as an attorney at Kilpatrick Stockton, LLP. Adán has previously held positions as a board member of the National Society of Compliance Professionals and as a member of FINRA’s District 6 Committee. Adán earned a BS from St. Peter’s College and a JD from Rutgers School of Law.

Jasper Ridge Partners provides discretionary investment management services and customized solutions to prominent families, foundations and global institutions. We manage approximately $39 billion in assets, with expertise across all major asset classes, including public equity, fixed income, hedge funds, private equity, venture capital, real estate and natural resources. Jasper Ridge Partners has a team of over 30 investment professionals with extensive experience and expertise in portfolio construction, risk management, manager selection and capital markets. Our in-house team of over 100 professionals provide dedicated client service, accounting, legal, tax, reporting, operations, support and transaction execution services.

Robert joined ACA in October 2024 to co-lead the Mock Examination Team after nearly two decades of experience from various leadership roles in the Examination and Enforcement Divisions at the U.S. Securities and Exchange Commission (SEC). Robert’s extensive background includes his most recent position as Assistant Regional Director in the SEC’s Division of Examinations Investment Adviser/Investment Company examination program, where he focused extensively on Private Funds. Additionally, he was a founding member of the SEC Enforcement Division’s Asset Management Unit (AMU) where he led significant cases involving private fund advisers. In his role as Senior Advisor and Assistant Director of the AMU, he specialized in priority focus areas, including investment adviser advertising, trade allocation, fees and expenses, conflicts of interest and valuation. He was also the architect of several sweeps and technology assisted risk-based initiatives, resulting in over 100 cases.

Robert’s supervisory responsibilities also included co-chairing the SEC Boston office’s Examination and Enforcement referral committee. He was a frequent presenter at CCO outreach and other investment adviser industry conferences and earned several SEC awards for high profile cases he worked on, his data-driven initiatives, and the expertise he brought enforcing and examining the new SEC Marketing Rule. Prior to joining the SEC, Robert spent five years as an associate in the investment adviser practice group at a major law firm.

Robert earned an undergraduate degree from the University of Minnesota and a law degree from Harvard Law School. During his time with the SEC, Robert also earned a graduate Certificate in Advanced Financial Planning from Bentley University and became a CFA Charterholder.

Chris is the Head of Compliance (Americas) at Pantheon. Most recently prior to Pantheon, he was a Compliance Officer at PIMCO, LLC. Chris graduated from Boston College’s Carroll School of Management with a bachelor’s degree in Finance.

Pantheon has been at the forefront of private markets investing for more than 40 years, earning a reputation for providing innovative solutions covering the full lifecycle of investments, from primary fund commitments to co-investments and secondary purchases, across private equity, private credit, infrastructure, and real assets. We have partnered with more than 650 clients, including institutional investors of all sizes as well as a growing number of private wealth advisers and investors, with approximately $70.8bn in discretionary assets under management (as of September 30, 2024). Leveraging our specialized experience and global team of professionals across Europe, the Americas and Asia, we invest with purpose and lead with expertise to build secure financial futures.

As the Chief Compliance Officer in the Bureau of Asset Management, Shachi Bhatt is responsible for identifying and implementing policies and systems to assess and monitor regulatory compliance within the Bureau as well as with the New York City retirement systems’ external managers and consultants on a range of issues relevant to the financial services industry. Ms. Bhatt ensures that investments comply with State and Federal law, the Systems’ investment guidelines and the asset allocation decisions made by the Systems’ and related funds’ Trustees.

Prior to joining the Office of the Comptroller’s Bureau of Asset Management in 2015, Ms. Bhatt served in compliance roles at wealth advisory and asset management firms. There she helped manage the firms’ compliance and risk management programs, including assembling regulatory filings, fulfilling all domestic and foreign registration requirements, staff training, overseeing the Business Continuity Plan and enhancing all policies and procedures.

Ms. Bhatt received her B.S. from the University at Albany and a M.S. from Boston University.

Matthew Bloom is General Counsel responsible for overseeing all legal, compliance, regulatory, and transactional matters for the firm. In addition, he is counsel to Viking’s Management Committee. Matthew was previously Deputy General Counsel and Chief Compliance Officer. Prior to joining Viking in 2013, Matthew was a Litigation Associate at Cravath, Swaine & Moore. He also served as a law clerk to the Hon. Joel M. Flaum of the United States Court of Appeals for the Seventh Circuit. Matthew received a J.D. from Yale Law School and a B.A. in history from Yale College.

Viking invest’s globally with a long-term, fundamental, research-based perspective. Driven by the pursuit of excellence, Viking strives to deliver operational excellence and the highest risk-adjusted returns.

Since 2016, Gerald has served as principal of GCY Associates LLC. GCY Associates LLC is a small, independent, global institutional advisory and consulting firm with clients that have ranged from an Ivy League university, to a small private HBCU university, to a multi-billion euro multilateral, Geneva, Switzerland-based scientific research organisation, to multiple international periodicals. Gerald also serves on various boards, including working as an independent director to a hedge fund and as an advisory board member to an insurance group, including serving as the group’s Chair, Investment Committee. Most recently (i.e., effective 8 Dec 2024), Gerald was named Chief Investment Officer of the National Public Pension Funds Association (NPPFA) and an advisor/consultant to a major, global law firm’s dedicated Securities Practice Group. Finally, and on a slightly more personal note, Gerald has served in the past as Special Advisor to the Ambassador of Jamaica.

From 2002 - 2016, Gerald served as VP & Chief Investment Officer for the UNCF. where he actively managed three (3) portfolios through a myriad of outside consultants, managers, custodians, etc. At their peak, those 3 portfolios totalled approximately $1 billion. One was a dedicated, fixed-income portfolio for a special scholarship programme created in conjunction with the Bill & Melinda Gates Foundation that was designed to use a dedicated defeasance strategy to immunise programme liabilities via matching cash flows and durations, akin to pension plans; the second was a traditional, fully-diversified, long-term, endowment portfolio; and the third was a short-term portfolio that staggered maturities across various short-term instruments. Prior to UNCF, Gerald worked with UBS as a retail broker (2000). Prior to that, Gerald worked with PaineWebber (1995), in both institutional fixed income sales covering government issues, corporates, Eurobonds, etc. and eventually retail brokering. Lastly, Gerald worked in both the retail and commercial banking divisions of Riggs National Bank of Washington (1990) in multiple capacities.

Gerald holds postgraduate degrees in Economics from the London School of Economics & Political Science and York University and in Law from the University of Miami and the Washington College of Law. His undergraduate degree is in Economics from the American University with honours. Gerald has served on multiple advisory boards , committees, etc. Gerald was nominated for multiple industry awards and, most recently, won the award from Institutional Investor “Investor Intelligence Awards, Endowments & Foundations, Thought Leadership” (2016) in the endowment and foundation space. Gerald was nominated twice on the “ai-CIO, Power 100 CIOs” (2012 & 2013) global list of chief investment officers and has spoken on many global institutional investor panels all over the world.

Gerald, aged 57+ years, is a dual Jamaican-American citizen, married, and currently lives in Washington, DC.

Gerald is partly bilingual (English & French) and is also an avid, recreational chef de cuisine. Gerald is a sportsman, voracious reader and a global traveller.

Doug Chiciak is the Managing Director and Chief Compliance Officer at Lightyear Capital where he oversees the Firm’s compliance program. Prior to joining Lightyear in 2018, Mr. Chiciak was the Deputy Chief Compliance Officer at New Mountain Capital. Previously, Mr. Chiciak was the Chief Compliance Officer at Saba Capital Management. Mr. Chiciak began his career as a Compliance Analyst at the D.E. Shaw Group, before being promoted to Vice President of Compliance.

Lightyear Capital LLC (together with its affiliates, “Lightyear” or the “Firm”) is a New York-based private equity firm focused on investing in middle-market companies associated with financial services. Having focused on the financial services industry consistently for nearly two decades, Lightyear believes the industry presents an array of attractive investment opportunities fueled by a combination of innovation, advances in technology, demographic trends, regulatory changes, and evolving business and consumer needs and behavior. Formed in 2000, Lightyear has raised over $5 billion of capital.

Sarah Christensen is the Deputy Chief Compliance Officer at Bow River Capital. In her role, Sarah is responsible for the administration of the firm’s compliance program alongside the Chief Compliance Officer and is a member of the firm’s risk committee where she helps develop and execute the firm’s operational risk framework.

Prior to joining Bow River Capital, Sarah worked at Kensico Capital Management Corp., as the Deputy Chief Compliance Officer where she maintained written policies and procedures in addition to overseeing the cybersecurity program, conducting annual due diligence on third party service providers and working alongside the CCO to manage the compliance program.

Sarah earned a BA in English from Fairfield University in Fairfield, CT.

Bow River Capital is a private alternative asset manager based in Denver, Colorado, focused on investing in the lower and middle market in five asset classes: defense technology, private credit, private equity, real estate, and software growth equity. Through its subsidiary Bow River Advisers, LLC, Bow River Capital also offers a registered mutual fund – Bow River Capital Evergreen Fund (EVERX) – designed to provide institutional-quality private market access to a broader set of investors. Collectively, the Bow River Capital team has deployed capital into diverse industries, asset classes and across the capital structure.
Bow River Capital Evergreen Fund is distributed by Foreside Financial Services, LLC, which is not affiliated with Bow River Capital or its affiliates.

For more information on Bow River Capital, please visit www.BowRiverCapital.com.

Sarah Conde is managing director, general counsel & chief compliance officer of Providence Equity Partners, a sector-focused private equity firm with approximately $32 billion in aggregate private equity capital commitments. At Providence, Sarah is a member of the ESG committee and the women’s roundtable. Prior to joining Providence in 2014, Sarah was an associate at Simpson Thacher & Bartlett LLP where she was a member of the private funds practice. Before that, she was an associate in the private investment funds group at Goodwin Procter LLP. Prior to entering private practice, she worked as a law clerk to Justice William P. Robinson III of the Rhode Island Supreme Court. She is a trustee of Lincoln School in Providence, Rhode Island. Sarah received a Juris Doctor from Georgetown University Law Center in 2007 and a Bachelor of Arts in English from Yale University in 2004.

Doug is the Chief Compliance Officer at Beacon Capital Partners, a real estate private equity firm, registered with the Securities and Exchange Commission as an investment adviser. Before joining Beacon Capital, Doug practiced with the law firm of Goodwin Procter LLP in their Boston office. He is the author of chapters in The US Private Equity Fund Compliance Companion and The U.S Private Real Estate Fund Compliance Guide. Doug teaches a financial services compliance class at Boston University School of Law.

Doug is an Investment Adviser Certified Compliance Professional® and a member of the Massachusetts Bar. His education is a BA from Brandeis University and a JD, cum laude from Boston University School of Law.

In his spare time Doug serves as the Chair of the Newton Historical Commission and the board of directors of MassBike.

For more than 20 years, Med Daigneault has counseled businesses and institutions on regulatory financial services matters. His clients include national and international financial services firms, comprising investment advisers, private fund managers (including hedge fund and private equity fund managers), multifamily offices, and broker-dealers. Med has extensive experience partnering with his clients to identify their regulatory requirements, conflicts of interest, and risks to assist in the development, implementation, and testing of compliance programs and supervisory structures. He works closely with his clients on matters concerning compliance with securities laws and regulations, assisting with SEC examinations, and resolving material compliance deficiencies and violations.

COMPLY empowers financial services firms to build strong, proactive compliance cultures that go beyond regulatory checklists — helping them reduce fines, protect their reputations, retain top talent, and drive business growth. As the leading provider of regulatory compliance technology and consulting expertise, COMPLY supports 5,600+ clients, including investment banks, private equity firms, hedge funds, broker-dealers, and RIAs.

Letti de Little has been Grain Management LLC’s CCO since 2018, and is responsible for overseeing legal, regulatory, and compliance matters for the firm. Additionally, Ms. de Little and her team lead the firm’s ESG initiatives. Prior to Grain, Ms. de Little was the Chief Compliance Officer for Cartica Management, LLC, an emerging markets, ESG focused, private fund manager. Previously, she was Corporate Counsel at Charles Schwab and Co., Inc. and prior to that, Corporate Counsel at Partner Fund Management, LP. Ms. de Little holds a J.D. from Tulane Law School and B.A. from the University of Virginia. She is a member of the New York Bar.

Founded in 2007, Grain Management is a leading, global investment firm. We believe broadband and digital infrastructure are foundational to the tech-enabled transformation occurring across all industries and facets of society. Our global team of seasoned and diverse professionals share a collective passion for the power of connectivity to strengthen communities and unlock human potential for all.

We specialize in digital infrastructure and are a trusted solutions provider to the broadband and communications industry. Our unique combination of sector knowledge, experience as operators, and disciplined analytical approach guide our differentiated investment strategy across fiber networks, data centers, wireless spectrum, cell towers, as well as managed and infrastructure services.

Chris Fadeff is the Chief Compliance Officer at Galvanize Climate Solutions, a climate-focused multi-strategy investment firm since 2021. Chris has worked for Galvanize Co-Chair Tom Steyer or entities he founded since 2013. Prior to Galvanize, Chris was vice president of Fahr LLC and chief operating officer of Steyer’s presidential campaign. Prior to that, Chris served in senior roles at NextGen America, formerly NextGen Climate for five years. Chris holds a J.D. degree from the University of California, College of the Law. Chris is a Truman National Security Project partner and sits on the board of NextGen Policy.

Galvanize is a climate-focused global investment firm delivering capital and integrated expertise to accelerate the energy transition and create long-term value for our investors.

Dan Faigus is the private funds Senior Specialized Examiner within the Division of Examinations and a member of the SEC’s Private Funds Unit (PFU) focusing on issues related to alternative investment advisers, including advisers to private equity, venture capital, hedge and real-estate funds. Dan is also an Adjunct Professor at Drexel University’s Thomas R. Kline School of Law where he has developed courses related to private funds and the Investment Advisers Act. Prior to joining the SEC, Dan worked at a big-four consulting firm, primarily assisting the firm’s private equity, hedge fund and broker-dealer clients in navigating SEC and regulatory related matters.

Dan graduated from The George Washington University’s Honors Program with a degree in Finance, the Georgetown University Law Center’s Securities and Financial Regulatory Certificate Program and holds the Chartered Alternative Investment Analyst (CAIA) and Certified Regulatory and Compliance Professional (CRCP) designations.

Mr. Felsenthal is the General Counsel and CCO at Great Point Partners. Prior to Great Point, he worked at Irving Place Capital, Davis Polk & Wardwell, and Paul, Weiss, Rifkind, Wharton & Garrison. Mr. Felsenthal also serves as the Secretary of the Compliance Committee of the New York City Bar Association. He graduated with a J.D. from the New York University School of Law and an B.S. in Accounting from Yeshiva University and is also a CPA.

Great Point Partners was founded in 2003 with a vision of helping growing health care companies achieve their full potential. Since then, we have partnered with innovative executives to build successful health care companies by utilizing both our capital and our industry expertise. Great Point Partners recognizes that there is tremendous synergy gained by investing in both private and public companies across the health care spectrum; therefore we have two distinct teams managing separate, but highly complementary investment strategies – lower middle market growth buyout funds investing in private health care companies and a hedge fund investing in public life sciences companies.

Mr. Felsenthal is a Principal, General Counsel and Chief Compliance Officer of Millburn Ridgefield LLC and all of its US and global affiliated entities. Prior to joining Millburn in January 2004, Mr. Felsenthal was a senior associate in the investment management group at Schulte Roth & Zabel LLP (September 1999- January 2004), where he represented and advised hedge funds, registered investment companies, investment advisers, broker-dealers and banks in connection with all facets of their asset management businesses, and a member of the tax department of Kramer, Levin, Naftalis & Frankel LLP (October 1996- September 1999). He graduated cum laude from Yeshiva University in 1991 with a bachelor of arts degree in political science, and order of the coif from Fordham University School of Law in 1996, where he also served as an editor of the Fordham Environmental Law Journal. Mr. Felsenthal received an LL.M degree in taxation from NYU School of Law in 2001 and has written and been quoted in numerous published articles on various topics related to investment management.

Millburn Ridgefield LLC (formerly Millburn Ridgefield Corporation) is a global organization registered investment adviser, broker-dealer, commodity pool operator and commodity trading advisor. It and its predecessor organizations have been continuously managing assets using quantitative, systematic techniques since 1971. Currently, Millburn manages assets in the following categories: commodity and financial futures, currencies and other alternative strategies.

Millburn Ridgefield LLC (formerly Millburn Ridgefield Corporation) is a global organization registered investment adviser, broker-dealer, commodity pool operator and commodity trading advisor. It and its predecessor organizations have been continuously managing assets using quantitative, systematic techniques since 1971. Currently, Millburn manages assets in the following categories: commodity and financial futures, currencies and other alternative strategies.

Laura Carolina Frattaroli is a Vice President, Deputy Chief Compliance Officer, Regulatory and Corporate Counsel at General Atlantic. Before joining General Atlantic in 2022, Laura was a Legal & Compliance Officer at Ninety One North America Inc., a global asset management firm. Prior to that, she was a Vice President Business Line Compliance Wealth Management Division at Deutsche Bank.

Boston University, B.A., Sociology
Northeastern University School of Law, JD

Chuck Feeney, co-founder of Duty Free Shoppers, established General Atlantic in 1980 to invest in high-growth businesses, support visionary founders like himself and fund the global charitable pursuits of the Atlantic Philanthropies, to which he has donated virtually all of his wealth.

Our values and experience have guided our decision making: a global mindset, growth orientation, innovation and creativity. Our partnership approach and collaboration with our portfolio companies, our investors and each other enable us to magnify our impact.

Our capital partner relationships have expanded over the past four decades, with global families comprising the majority of our capital base. We operate outside of traditional funding cycles, utilizing patient and long-term capital. We are also the largest investor in the firm, providing strong alignment with our investors.

Melissa S. Gainor is an investment funds partner in the Washington, D.C., office of Kirkland & Ellis LLP. Prior to joining Kirkland, Melissa worked at the Securities and Exchange Commission’s (SEC’s) Division of Investment Management, where she led the Investment Adviser Regulation Office. In this role, she oversaw all rulemaking affecting registered investment advisers, including significant new proposals recently promulgated by the SEC related to the regulation of private fund advisers, Form PF amendments, and cybersecurity risk management for investment advisers. During her time at the SEC, Melissa led initiatives to modernize rules for investment adviser marketing, ETFs and fund of funds arrangements. She also worked closely with the Division of Examinations and the Division of Enforcement on interpretative matters regarding the application of the securities laws to all types of investment advisers.

With a global platform of approximately 4,000 lawyers in 21 cities across the United States, Europe, the Middle East and Asia, Kirkland & Ellis provides elite legal advice and a relentless commitment to client service. Kirkland is a market-leader in each of its core practice areas including private equity, M&A and other complex corporate transactions; investment fund formation and alternative asset management; restructurings; high-stakes commercial and intellectual property litigation; and government, regulatory and internal investigations. To learn more, please visit www.kirkland.com.

Mr. Gaven joined SK Capital as General Counsel & Chief Compliance Officer in 2022.

Prior to joining SK Capital, Mr. Gaven spent over 11 years as Senior Counsel & Chief Compliance Officer at Welsh, Carson, Anderson & Stowe. In addition to his legal and compliance responsibilities at Welsh, Carson, Anderson & Stowe, Mr. Gaven helped coordinate the firm’s ESG program. He has also served as an Advisor to Text IQ, a software company that utilizes artificial intelligence to assist in a variety of legal, compliance, and privacy tasks. Previously, he worked at Kohlberg Kravis Roberts & Co. and Ramius LLC.

Mr. Gaven hold a BA in Economics and Government from Wesleyan University and a JD from the University of Illinois.

Mr. Gewanter joined Kohlberg in 2018. Prior to joining the Firm, Mr. Gewanter was General Counsel and Chief Compliance Officer of Whippoorwill Associates, Inc. Prior to that, he worked in the Legal and Compliance Department at Credit Suisse and as a lawyer at Weil, Gotshal & Manges LLP and Kaye, Scholer, Fierman, Hays & Handler, LLP. Mr. Gewanter received a J.D. from Columbia University School of Law and a B.A. from Brandeis University.

Founded in 1987, Kohlberg is a leading U.S. middle market private equity firm based in Mount Kisco, New York. The firm invests in leading healthcare and services companies characterized by strong market positions, recurring revenue streams and resilient end markets, which it identifies through rigorous thematic research grounded in its White Paper Program. Leveraging its team of investment and operating professionals, Kohlberg works with management teams to accelerate growth, enhance operational excellence and create value. As of December 31, 2024, Kohlberg manages approximately $17 billion on behalf of investors globally. For more information, please visit www.kohlberg.com.

Aaron Gilbride advises clients on complex matters involving federal securities and banking laws.

Leveraging over 15 years of experience across government and private practice, including with the US Securities and Exchange Commission’s Division of Investment Management, Aaron represents:

• Investment advisers
• Private funds
• Registered funds
• Fund directors
• Financial institutions

Aaron regularly advises clients on SEC examination and enforcement investigations. He also counsels corporate clients on matters that could give rise to regulatory issues under the Advisers Act and 1940 Act, including mergers and acquisitions, IPOs, financings, and emerging company matters.

Before joining Latham, Aaron spent nearly six years in senior leadership roles at the SEC, including as Branch Chief in the Chief Counsel’s Office of the SEC’s Division of Investment Management, where he oversaw no-action letters, exemptive applications, and interpretive guidance. Aaron also collaborated closely with the SEC’s Office of Compliance Inspections and Examinations (now Division of Examinations) and Division of Enforcement, with a focus on examinations and enforcement actions involving investment advisers and private funds.

Latham & Watkins

Latham & Watkins is a leading global law firm that brings together exceptional legal talent in financial centers around the world to advise on complex transactions, litigation, and regulatory matters. The firm’s deep market and product knowledge, industry experience, vast scale, and commitment to innovation and excellence help clients navigate their most critical challenges and achieve their goals.

Brendan Hanifin provides regulatory counseling to investors and businesses across a range of international risks, including anti-money laundering laws, sanctions, and foreign investment regulations. Having spent over a decade working alongside one of the industry’s largest and most diversified investment management practices, Brendan offers clients unmatched insight into market terms and creative, tested solutions. He has particular experience assisting clients in developing risk-based anti-money laundering compliance programs, including advising on the Financial Crimes Enforcement Network’s Anti-Money Laundering Program and Suspicious Activity Reporting Rule for Investment Advisers.

Brendan assists private equity sponsors, venture and growth equity firms, sovereign investors, and operating businesses in assessing and mitigating foreign investment regulation risks (Committee on Foreign Investment in the United States and Outbound Investment Security Program) in connection with fund formation, primary and secondary investments, and reorganizations.

Clients also turn to Brendan to conduct due diligence on their most complex cross-border transactions.

Ropes & Gray, a preeminent, global law firm, has been ranked in the top-three on The American Lawyer's prestigious "A-List" for eight years and by Chambers UK. The firm has more than 1,500 lawyers and legal professionals serving clients in major centers of business, finance, technology, and government in New York, Boston, Chicago, Los Angeles, San Francisco, Silicon Valley, Washington, D.C., London, Dublin, Hong Kong, Seoul, Shanghai, Singapore and Tokyo. The firm has consistently been recognized for its leading practices in many areas, including asset management, private equity, M&A, finance, real estate, tax, antitrust, life sciences, healthcare, intellectual property, litigation & enforcement, privacy & cybersecurity, and business restructuring.

Ms. Harrison shares responsibility for ensuring that the firm maintains compliance with various state, federal and international regulations. Prior to joining GCM Grosvenor, Ms. Harrison was Director of Compliance at PGIM, Inc., the global investment management business of Prudential Financial, Inc. Previously, she was a Compliance Officer at Abbott Capital Management, LLC, a private equity fund of funds in New York. Before that, Ms. Harrison was as a Senior Compliance Analyst at RBC Capital Markets. Ms. Harrison received her Bachelor of Arts in Political Science and Economics from Denison University and her Juris Doctor from Washington and Lee University School of Law. She is a member of the District of Columbia and Virginia Bars.
GCM Grosvenor (Nasdaq: GCMG) is a global alternative asset management solutions provider with approximately $79 billion in assets under management across private equity, infrastructure, real estate, credit, and absolute return investment strategies.

GCM Grosvenor’s experienced team of approximately 500 professionals serves a global client base of institutional and high net worth investors. The firm is headquartered in Chicago, with offices in New York, United Kingdom, Australia, Germany, Toronto, London, Tokyo, Hong Kong, and Seoul.

Steve Hatfield is Co-Head of Sustainability at Carlyle. He leads sustainability integration throughout the investment lifecycle across the US portfolios, including partnering with investment teams and portfolio companies to drive total business value through targeted sustainability initiatives. Additionally, he leads the GHG and ESG reporting team focusing on firmwide regulatory reporting and assurance.

Mr. Hatfield joined Carlyle from Cerberus Capital Management, where he developed and led the ESG portfolio company engagement strategy that included a program to systematically identify and execute opportunities to drive commercial value. Prior to joining Cerberus, Mr. Hatfield advised clients on a wide range of ESG topics in PwC’s Sustainable Business Solutions practice. He holds an MBA in Sustainable Business and Renewable Energy from Marylhurst University.

Carlyle (NASDAQ: CG) is a global investment firm with deep industry expertise that deploys private capital across three business segments: Global Private Equity, Global Credit and Investment Solutions. With $276 billion of assets under management as of June 30, 2021, Carlyle’s purpose is to invest wisely and create value on behalf of its investors, portfolio companies and the communities in which we live and invest. Carlyle employs nearly 1,800 people in 27 offices across five continents. Further information is available at carlyle.com. Follow Carlyle on Twitter @OneCarlyle.

Devin Holden is the Chief Compliance Officer for NovaQuest Capital Management, a private investment firm focused on the biopharmaceutical, life sciences, and healthcare areas. She has almost 10 years of compliance, accounting, and operational due diligence experience in the private markets. Among other things, she is currently responsible for overseeing compliance, ESG efforts, and DEI initiatives as the firms Head of Diversity. Prior to joining NovaQuest Capital in 2021, she served as the compliance specialist for Chartwell Investment Partners. Previously, she led the operational due diligence efforts at Hamilton Lane, a private markets investment management firm. Prior to that, she conducted operational due diligence at Strategic Investment Group. She began her career as a Senior Associate in the assurance practice at Ernst & Young, serving clients in private equity. She earned a Masters and Bachelors of Science in Accountancy from the Wake Forest University Schools of Business. She is a licensed Certified Public Accountant in the Commonwealth of Virginia.

NovaQuest Capital Management is a premier biopharma and life sciences investment firm. NovaQuest pioneered a Product Finance solution for the industry, providing at-risk, nondilutive funding that enables partner companies to advance pivotal clinical trials, launch new brands, license products, and acquire accretive products or companies. NovaQuest has invested in scores of biopharmaceutical assets across therapeutic areas with a clinical success rate significantly higher than the industry average. Currently managing more than $2.2 billion in capital, NovaQuest is actively investing from the $1.2 billion Fund V, evaluating global opportunities with financing needs that range from $30-100 million. For more information, please visit www.novaquest.com.

Nha-Uyen Hua is Vice President, Compliance at Carlyle where she is responsible for administering the global compliance program for Carlyle Aviation Partners across their offices in Miami, Dublin, and Singapore. Before joining Carlyle in 2019, she worked in assurance services at Ernst & Young LLP and executed high-quality audits for public and private clients in the software technology sector.

In addition, Nha-Uyen currently serves as Secretary for the Southeast chapter of Ascend, the largest global organization and network advancing Pan-Asian professionals in the workplace and corporate boardrooms. She is also actively involved in various internal committees including Carlyle’s Multicultural ERG. Nha-Uyen earned her Bachelor of Science and Master of Science degrees in Accounting from the University of Florida and Florida Atlantic University, respectively, and is a licensed CPA in the state of Florida.

Carlyle Aviation Partners is the commercial aviation investment and servicing arm of Carlyle's Global Credit platform, with $190 billion in assets under management as of June 30, 2024. It is a multi-strategy aviation investment manager that seeks to capitalize on its extensive technical knowledge, in-depth industry expertise and long-standing presence in the aviation sector. As of June 30, 2024, it has a team of more than 120 employees and offices in the United States, Ireland and Singapore. For more information, visit www.carlyle.aero.

Carlyle (NASDAQ: CG) is a global investment firm with deep industry expertise that deploys private capital across its business and conducts its operations through three business segments: Global Private Equity, Global Credit and Global Investment Solutions. With $435 billion of assets under management as of June 30, 2024, Carlyle’s purpose is to invest wisely and create value on behalf of its investors, portfolio companies and the communities in which we live and invest. Carlyle employs more than 2,200 people in 29 offices across four continents. Further information is available at www.carlyle.com. Follow Carlyle on X @OneCarlyle and LinkedIn at The Carlyle Group.

Jemima is a Vice President, Compliance for Shamrock Capital. She supports all compliance matters arising from Shamrock's investments, funds and operations and is responsible for helping to develop and implement comprehensive compliance programs to ensure adherence to applicable laws, regulations, and industry standards. Prior to joining Shamrock in 2024, Jemima worked at BC Partners in New York, where she focused on compliance matters arising from the Private Equity and Private Credit strategies. She started her career within the Legal & Compliance team at Third Bridge, an expert network servicing the financial services industry.
Jemima has a law degree from the University of Edinburgh, U.K.

Shamrock Capital Advisors, LLC ("Shamrock Capital") is a Los Angeles-based investment firm. Shamrock Capital invests exclusively in media, entertainment, communications, and related sectors through a multi-fund strategy centered on private equity investments, as well as ownership and financing of content and media rights. The firm was originally founded in 1978 as the family investment company for the late Roy E. Disney and has since evolved into an institutionally backed firm with a leading group of investors, including endowments, foundations, and sovereign wealth and pension funds.

Daniel Kahl is a partner in the Investment Funds Practice Group in the Washington, D.C., office of Kirkland & Ellis LLP. Dan most recently served as Acting Director of the U.S. Securities & Exchange Commission's (SEC's) Division of Examinations in the agency’s Washington Headquarters where he oversaw all aspects of the SEC’s national examination program and more than one thousand examination staff nationwide. Dan worked directly with the Chairman, Commissioners and other SEC leadership to set examination policy, direction, and priorities. Previously, Dan served as Deputy Director and Chief Counsel of the Division of Examinations. In these roles, Dan led the development of SEC examination priorities for the domestic and international examination programs encompassing the spectrum of SEC registrants including investment companies, investment advisers and broker-dealers. He was also responsible for managing the team of lawyers responsible for providing legal advice, interpretative guidance, training and policy advice on the Federal securities laws to the examination program.

With a global platform of approximately 4,000 lawyers in 21 cities across the United States, Europe, the Middle East and Asia, Kirkland & Ellis provides elite legal advice and a relentless commitment to client service. Kirkland is a market-leader in each of its core practice areas including private equity, M&A and other complex corporate transactions; investment fund formation and alternative asset management; restructurings; high-stakes commercial and intellectual property litigation; and government, regulatory and internal investigations. To learn more, please visit www.kirkland.com.

Samantha Katz is General Counsel and Chief Compliance Officer of Argand Partners, LP. Previously, Samantha was a partner at Winston & Strawn LLP where she focused her practice on the representation of private equity funds in their acquisitions and dispositions of portfolio companies, as well as management of portfolio companies over the holding period. In addition, Samantha has significant experience working with co-investors and managing their respective investments in the applicable private equity fund or special purpose vehicle/aggregator. Samantha earned her J.D. from Fordham University School of Law, cum laude, where she was a member of Fordham Law Review and the Dean’s List and was the recipient of the Archibald Murray Public Service Award. Prior to receiving her J.D., Samantha earned her B.A., magna cum laude, from New York University, where she was a member of Phi Beta Kappa, Psi Chi National Psychology Honor Society and the Dean’s List, and was the recipient of the New York University Founders’ Honor Award.

Argand Partners

Argand Partners is a New York-based middle-market industrials private equity firm, with offices in the San Francisco Bay Area and Miami. The firm makes investments in manufacturing, distribution, and business services companies with a strong U.S. nexus (headquarters, significant operations, primary growth market, and/or majority of revenue) and often significant global operations.

Argand companies include U.S. or global market leaders in their niche (sources available upon request), have sustainable competitive advantages, defensive characteristics, and significant growth potential supported by secular demand trends.

We are a control investor and engage with complex situations in order to buy well. Our team employs a hands-on approach to partnering with great management to create value across the investment lifecycle and achieve significant growth.

Argand is a signatory to the UN-supported Principles for Responsible Investment and the ILPA Diversity in Action initiative.

Further information on Argand can be found on the website: http://www.argandequity.com

Brian Kesselman is the Co-Founder and Chief Revenue Officer at Skematic, an FRT Brand. Skematic is a compliance operating system built for financial services firms.

Prior to founding Skematic in 2022, Brian spent a decade in the compliance and RegTech space, holding key roles at leading compliance technology providers including ComplySci and Smarsh. Through these positions, he developed comprehensive expertise in regulatory technology solutions and how they should be best implemented and utilized by compliance teams.

Brian's professional experience is grounded in practical compliance knowledge, having begun his career as in-house counsel at the fund of hedge fund manager Forester Capital and later serving as a Compliance Officer at J.P. Morgan. This firsthand perspective on the challenges facing compliance professionals has informed his approach to technology solutions.

Brian is a licensed attorney. He received his J.D. from St. John's University School of Law and his B.A. in Political Science from Indiana University Bloomington.

Skematic, an FRT brand, has built the first of its kind compliance operating system for regulatory operations. By digitizing manual processes into streamlined workflows, Skematic helps compliance teams reduce administrative burden while strengthening controls and maintaining comprehensive audit trails.

Founded in 2022 and already trusted by 200+ financial services firms, Skematic enables compliance teams to stay ahead of regulatory requirements while providing complete, audit-ready documentation. With its innovative platform and high-touch customer service team, Skematic is where operational clarity meets regulatory excellence.

As Chief Sustainability and Public Affairs Officer, Anne Womack Kolton leads SK Capital Partners’ sustainability initiatives and public sector engagement, driving value across the firm and its portfolio. In this role, Ms. Kolton supports the full investment lifecycle—from sourcing and due diligence to value creation and realization—by embedding sustainability, public policy, and regulatory considerations into decision-making processes. She works closely with portfolio companies and deal teams to develop and enhance sustainability programs, with a focus on operational efficiency, environmental stewardship, and risk mitigation. Ms. Kolton also oversees the firm’s engagement with policymakers, industry groups, and other external stakeholders, and partners with portfolio companies to shape and execute advocacy strategies that promote and protect business interests.

In addition, she leads strategic communications related to sustainability and public policy, ensuring alignment between the firm’s initiatives and broader industry and societal trends.

SK Capital is a transformational private investment firm with a disciplined focus on the life sciences, specialty materials, and ingredients sectors. The firm seeks to build resilient, sustainable, and growing businesses that create substantial long-term value. SK Capital aims to utilize its industry, operating, and investment experience to identify opportunities to transform businesses into higher performing organizations with improved strategic positioning, growth, and profitability, as well as lower operating risk. SK Capital’s portfolio of businesses generates revenues of approximately $12 billion annually, employs more than 25,000 people globally, and operates more than 200 plants in over 30 countries. The firm currently has approximately $9 billion in assets under management. For more information, please visit www.skcapitalpartners.com.

Nicole Krea routinely counsels investment advisers, both registered and exempt, on a variety of regulatory matters, with a particular emphasis on the Investment Advisers Act. Nicole works with a wide array of private fund advisers, including advisers to private equity funds, hedge funds, credit funds, venture capital funds, crypto funds, and real estate funds, and also advises with respect to separately managed account relationships. Nicole advises firms on matters relating to registrations and filings, compliance with regulatory obligations, SEC examinations, and assessing regulatory risk in light of SEC priorities and market practice.

Ropes & Gray, a preeminent, global law firm, has been ranked in the top-three on The American Lawyer's prestigious "A-List" for eight years and by Chambers UK. The firm has more than 1,500 lawyers and legal professionals serving clients in major centers of business, finance, technology, and government in New York, Boston, Chicago, Los Angeles, San Francisco, Silicon Valley, Washington, D.C., London, Dublin, Hong Kong, Seoul, Shanghai, Singapore and Tokyo. The firm has consistently been recognized for its leading practices in many areas, including asset management, private equity, M&A, finance, real estate, tax, antitrust, life sciences, healthcare, intellectual property, litigation & enforcement, privacy & cybersecurity, and business restructuring.

John brings almost 30 years of valuation advisory experience to WilliamsMarston. His extensive valuation expertise includes mergers and acquisitions, purchase price allocations, goodwill and intangible asset impairments, complex debt and equity instruments, investment management contracts including carried interest and performance fee rights, as well as litigation matters, solvency and fairness opinions. With broad experience across the financial services industry, John specializes in helping investment managers with their most important valuation issues.

Prior to WilliamsMarston, John was a Partner at Bay Valuation Advisors LLC (“BVA”), a nationally recognized leading provider of complex valuation advisory services for more than 4 years. While at BVA, John advised numerous clients ranging from early-stage venture backed entities to Fortune 100 companies with their complex financial and tax reporting valuation matters. Prior to BVA, John led Deloitte LLP’s valuation practice for the investment management industry, advising many of the world’s largest investment managers. Prior to Deloitte, John was a Manager in the valuation practice of another Big Four firm, and prior to that, he worked in a boutique valuation and litigation consulting firm.

John holds a Bachelor of Arts in Government, with a minor in German from Dartmouth College.

WilliamsMarston is a national leader in complex accounting, tax, valuation and transaction advisory services. The firm advises public, private equity-backed and pre-IPO companies managing rapid growth and transformation including mergers, acquisitions, carveouts, spin-offs, initial public offerings, complex technical accounting, corporate tax and restructuring. Founded in 2014, WM has more than 200+ professionals and offices in Boston, New York, Atlanta, Charlotte, Dallas, Denver, Tucson, Los Angeles and San Francisco.
From dedicated senior-level involvement in every engagement to specialized teams, WM’s accounting, tax and valuation experts pair Big Four experience with strong technical expertise to deliver unparalleled perspective, practical advice and effective solutions that accelerate impact. With a team of industry leading experts, WilliamsMarston is the CFO’s most trusted advisor through their most complex transactions and mission critical initiatives.

Mr. McGrail is the Head of Legal & Compliance at DUMAC, Inc., a professionally staffed investment organization controlled by Duke University. Before joining DUMAC, Mr. McGrail was an associate at Akin Gump and Proskauer Rose, where his practice focused on investment funds. Mr. McGrail received both his J.D. and B.A. from the University of Virginia.

Joseph M. Morrissey is a partner in the Investment Management Group at Seward & Kissel LLP. Mr. Morrissey works with sponsors and managers of various private investment funds and other pooled investment vehicles, including private equity funds, hedge funds, funds of funds, commodity pools, and various “hybrid” funds. In particular, Mr. Morrissey focuses on fund formation and structuring, the offering of interests by private investment funds, and the negotiation and documentation of such investments. Mr. Morrissey has significant experience in organizing both domestic and offshore partnerships and other investment vehicles, including separately managed accounts. Mr. Morrissey also represents fund sponsors in connection with seed-capital investments and represents funds of funds and other institutional investors in connection with their investments in private funds. Mr. Morrissey regularly counsels investment advisers, commodity pool operators and commodity trading advisors on regulatory and compliance matters, including the development of comprehensive compliance programs and in connection with applicable regulatory examinations. On the transaction side, Mr. Morrissey represents these clients in connection with their investment activities, including private equity and venture capital transactions, joint ventures and PIPEs transactions.

Mr. Morrissey served several years as a Member of the Private Investment Funds Committee of the Association of the Bar of the City of New York.

Mr. Morrissey was recognized as a key lawyer in The Legal 500 2023 “Investment Fund Formation and Management, Private Equity Funds (including Venture Capital)” category for Seward & Kissel – “Joseph Morrissey‘s clients include some of the most recognizable private equity firms, along with market fund sponsors.” Mr. Morrissey was recognized by IFLR 1000 as Highly Regarded in the practice areas of Hedge Funds and Private Equity Funds.

Mr. Morrissey received a B.A. from Drew University and a J.D. from Fordham University School of Law.

Wendy joined Antin in 2015 and is the firm’s Chief Compliance Officer, responsible for the Group’s global compliance and regulatory programme. She is authorised by the FCA and has been awarded the RCCI professional license by the AMF.

Wendy is a member of Antin’s Compliance Committee, Operational Sustainability Committee, Conflict Committee, Risk Management Committee and IT Committee. She also participates in all Investment Committee meetings.

Prior to joining Antin, Wendy spent ten years with Coller Capital Limited, where she served the last three years as the Compliance Officer and Company Secretary. Previously, she was with Standard Chartered Bank as part of a team based in London responsible for the issuance of primary debt into the international capital markets on behalf of the banks’ clients.

Wendy holds a Bachelor of Law from the University of Bristol, and a barrister-at-law.

Antin Infrastructure Partners is a leading private equity firm focused on infrastructure. With over €33bn in assets under management across its Flagship, Mid Cap and NextGen investment strategies, Antin targets investments in the energy and environment, digital, transport and social infrastructure sectors. With a presence in Paris, London, New York, Singapore, Seoul and Luxembourg, Antin employs over 240 professionals dedicated to growing, improving and transforming infrastructure businesses while delivering long-term value to portfolio companies and investors. Majority owned by its partners, Antin is listed on compartment A of the regulated market of Euronext Paris (Ticker: ANTIN – ISIN: FR0014005AL0)

Chase serves as the Director of Finance & Valuations and is involved in several areas of the firm’s operations including investor and financial reporting, investment valuation and analysis, and technology implementations. He joined NGP in 2013.

Prior to NGP, Chase was a Director at Duff & Phelps (nka Kroll), where he prepared valuations for financial and tax reporting, portfolio valuation, transaction opinions, and dispute resolution.

Chase is a CFA Charterholder and received his B.B.A. through the Honor’s Program in Management in 2003 from Texas Tech University and an M.B.A in Finance from Mays Business School in 2005 from Texas A&M.

Founded in 1988, NGP comprises a family of private equity investment funds with over $24 billion of cumulative equity commitments organized to make direct equity investments in the energy industry. NGP invests where there is a clear match between a management team’s growth strategy and our differentiated sponsorship capabilities. These investments are focused on companies headquartered in North America but have operations across multiple states and territories. Our team of experienced investment professionals has executed investments in over 450 transactions with more than 297 portfolio companies as of year end 2024. NGP prides itself on partnering with experienced management teams who are experts in their sectors.

Commissioner Hester M. Peirce Hester M. Peirce was appointed by President Donald J. Trump to the U.S. Securities and Exchange Commission and was sworn in on January 11, 2018. Prior to joining the SEC, Commissioner Peirce conducted research on the regulation of financial markets at the Mercatus Center at George Mason University. She was a Senior Counsel on the U.S. Senate Committee on Banking, Housing, and Urban Affairs, where she advised Ranking Member Richard Shelby and other members of the Committee on securities issues. Commissioner Peirce served as counsel to SEC Commissioner Paul S. Atkins. She also worked as a Staff Attorney in the SEC’s Division of Investment Management. Commissioner Peirce was an associate at Wilmer, Cutler & Pickering (now WilmerHale) and clerked for Judge Roger Andewelt on the Court of Federal Claims. Commissioner Peirce earned her bachelor’s degree in Economics from Case Western Reserve University and her JD from Yale Law School.

Neal Prunier, Senior Director, Industry Affairs, at the Institutional Limited Partners Association (ILPA) is responsible for the continuing evolution and expansion of ILPA standards and best practices, as well as ILPA’s legal, government and regulatory affairs efforts.

Prior to ILPA, Neal spent his career at Cambridge Associates where he most recently served as Senior Director in CA’s Arlington, Virginia office. In this role, he oversaw staff across Singapore, London, and Arlington as head of a global investment operations department responsible for enterprise data management for Private Investment, Hedge Fund, and Long Only investment manager/client specific data. This work focused on serving the data needs of Research, Consulting, and Performance Reporting functions, as well as clients and the broader industry.

Neal holds a BS in Finance from Elon University and an MBA from the Duke University Fuqua School of Business.

With more than 600 member institutions representing over $3T USD of private equity assets under management, the Institutional Limited Partners Association (ILPA) is the only global organization dedicated exclusively to advancing the interests of LPs and their beneficiaries. Its members include public and private pensions, insurers, endowments and foundations, family offices, development finance institutions, and sovereign wealth funds. Our policy agenda is focused on strengthening the private equity asset class through strong governance, alignment of interests and transparency.

Mr. Rooney joined Cerberus in 2008. From 2005 to 2011, he also served as an Assistant Professor at Fordham University’s Graduate School of Business and College of Business Administration.

From 2003 to 2008, Mr. Rooney served in various legal and compliance roles including: Global Anti-Corruption Officer for American International Group, Inc., Global Head of Bank Anti-Corruption Compliance for Credit Suisse, and Director and Senior Counsel in the Government & Regulatory Compliance Group at Merrill Lynch. Prior to that, Mr. Rooney was a litigation associate at the law firm of Condon & Forsyth in New York. Prior to joining Condon & Forsyth, Mr. Rooney served as an Assistant District Attorney in the Trial Division of the Manhattan District Attorney’s Office from 1996 to 2000.

Mr. Rooney is a graduate of Fordham College and received his J.D. from Fordham Law School.

About Cerberus Founded in 1992, Cerberus is a global leader in alternative investing with approximately $55 billion in assets across complementary credit, private equity, and real estate strategies. We invest across the capital structure where our integrated investment platforms and proprietary operating capabilities create an edge to improve performance and drive long-term value. Our tenured teams have experience working collaboratively across asset classes, sectors, and geographies to seek strong risk-adjusted returns for our investors. For more information about our people and platforms, visit us at www.cerberus.com.

Jason Scoffield is Chief Compliance Officer and Fund Counsel for Audax Group. Prior to joining Audax in 2015, Jason worked at Morgan, Lewis & Bockius LLP and Bingham McCutchen LLP as Counsel and at Proskauer Rose LLP., as an Associate, where he advised private fund clients and other investment advisers. Jason received a J.D. from Duke University School of Law and a B.A. from Brigham Young University.

Audax Group is an alternative investment manager with offices in Boston, New York, and San Francisco. Audax manages capital across its Private Equity and Private Debt businesses and is a strategic capital partner for North American middle market companies.

Usman Shakeel serves as General Counsel and Chief Compliance Officer at Wind Point Partners. He joined the Firm in 2022 and has overall responsibility for handling general corporate, legal and compliance matters. Prior to joining Wind Point, he was Associate General Counsel and Compliance Officer at Madison Dearborn Partners. Previously, he was Legal Counsel and Chief Compliance Officer at LaSalle Investment Management. He began his legal career as an Associate in the Corporate Group of Latham & Watkins LLP.

Usman received a BA in economics from the University of California, Los Angeles (UCLA) and a JD from Northwestern University School of Law.

Wind Point Partners is a Chicago-based private equity investment firm and focuses on partnering with top caliber management teams to acquire well-positioned middle market businesses where it can establish a clear path to value creation. Founded in 1984, Wind Point is one of the oldest private equity firms in Chicago and an early adopter in developing a partnership model to align with top operating talent in private equity investments. Wind Point targets investments in the business services, consumer products and industrial products industries. Since inception, Wind Point has deployed ten private equity buyout funds in partnership with leading institutional investors around the world, including public pensions, insurance companies, endowments, foundations, fund of funds and family offices.

Todd joined Pantera in 2024 as our Chief Operating Officer and is responsible for capital formation, investor relations, trading, technology and administration. Todd was most recently COO of CBC Group, a healthcare-dedicated asset management firm. Prior to that, Todd worked for over 11 years with BlackRock as a Managing Director, including roles as COO for the alternatives platform, Americas region and the institutional client business. Before that, he worked for over 11 years with Goldman Sachs Asset Management. Todd is a graduate of Harvard College and holds a M.B.A. from The Wharton School.

David Smolen is the Managing Director, General Counsel and Chief Compliance Officer of GI Partners. Mr. Smolen chairs the Firm's ESG Committee. Prior to joining GI Partners, Mr. Smolen was Senior Counsel and Chief Compliance Officer at Silver Lake. Prior to Silver Lake, he was the General Counsel, CFO and COO of Fort Mason Capital, a hedge fund specializing in growth capital investments. Earlier in his career, Mr. Smolen co-founded a venture investing firm focused on Latin America, practiced corporate law at Sullivan and Cromwell in New York, clerked for the Honorable Richard F. Suhrheinrich on the United States Court of Appeals for the Sixth Circuit, and served as a Peace Corps Volunteer in the Dominican Republic.

Education
• J.D. from Stanford Law School
• M.A. in Political Science and B.A. in International Relations from Stanford University

GI Partners is a private alternatives investment firm with offices in San Francisco, New York, Dallas, Chicago, Greenwich, Scottsdale, and London. The firm has raised over $40 billion in capital from leading institutional investors around the world to invest in private equity, real estate, and data infrastructure strategies. Since our founding in 2001, we have remained singularly focused on building lasting value for all our stakeholders.

Our mission is to generate outstanding risk-adjusted returns throughout business cycles and across all our investments. Delivering such returns means identifying untapped growth opportunities while thoughtfully managing risks as stewards of our investors’ capital. We believe that through teamwork and mutual support, we will be able to create enduring relationships with our investors, generate rewarding outcomes for our management teams, and provide unparalleled personal development for our professionals.
https://www.gipartners.com/

Allison Soren is a Managing Director and the Chief Compliance Officer at GTIS Partners LP. Ms. Soren is responsible for leading all compliance related functions including, the administration of GTIS’ compliance program globally and regulatory reporting obligations. Ms. Soren joined GTIS in 2013 as a Management Company Accountant responsible for general partner reporting before moving to the Compliance group in early 2016. Ms. Soren began her career as a public accountant at Berdon LLP where she spent five years servicing NYC-based family office clients in the real estate sector.

Ms. Soren received a B.S. in Accounting from Binghamton University and is a Certified Public Accountant.

Chris Tamms joined PEI over three years ago and serves as the Network Director for the Investor Relations Network and the Private Funds CFO Network. She previously worked for Cambridge University Press in New York City working with customer insights and global community management. Chris received a Master of Science in Communication from Purdue University and an International Trade & French degree from Clemson University. During her undergraduate years, she studied at business school in the Loire Valley of France.

Ryan Toteja serves as the Head of Legal, Investment Funds an provides counsel on legal affairs for Platinum Equity and its investment funds, with an emphasis on supporting the firm’s investor relations, compliance, tax and credit teams.

Prior to joining Platinum Equity in 2021, Mr. Toteja worked at The Carlyle Group and Cleary Gottlieb Steen & Hamilton.

Mr. Toteja holds a B.S. in Economics from The Wharton School of the University of Pennsylvania and a JD from Columbia Law School.

Founded in 1995, Platinum Equity is a global investment firm with $48+ billion of assets under management, teams and investors around the world, and a diverse, global portfolio of operating companies in a wide range of industries. Our current portfolio of approximately 60 companies operates in a diverse range of industries, generates $90+ billion of aggregate revenue and employs approximately 200,000 people across the globe.

Platinum is an alternative asset management firm that invests institutional capital from around the globe. The firm specializes in private equity buyouts and has over 29 years of transacting across geographies, industries and transaction types. In addition to our core buyout capabilities, Platinum is active in the credit asset class, investing in the private and public debt of underperforming, undermanaged, undervalued companies, primarily in North America.

David joined NGP in 2023. He is responsible for administering NGP’s compliance program, ensuring that NGP complies with regulatory agencies and that the behavior in the organization meets the NGP standards of conduct. Prior to NGP, David worked at ORIX Corporation USA for three years as Counsel, Compliance where he administered the compliance program across the group’s registered investment advisers and other affiliates. Prior to ORIX Corporation USA, David worked at Blue River Partners, now a part of IQ-EQ, where he provided outsourced compliance services to a wide variety of alternative asset managers. David received a B.B.A. in Marketing & Management from the University of Georgia and a J.D., cum laude, from Southern Methodist University Dedman School of Law.

Founded in 1988, NGP comprises a family of private equity investment funds with over $24 billion of cumulative equity commitments organized to make direct equity investments in the energy industry. NGP invests where there is a clear match between a management team’s growth strategy and our differentiated sponsorship capabilities. These investments are focused on companies headquartered in North America but have operations across multiple states and territories. Our team of experienced investment professionals has executed investments in over 450 transactions with more than 297 portfolio companies as of year end 2024. NGP prides itself on partnering with experienced management teams who are experts in their sectors.

Devi Vairavan serves as Chief Compliance Officer of WM Partners, LP, an SEC registered investment advisor based in Aventura, Florida managing over 1.1B in assets under management.

At WM Partners, Ms. Vairavan leads the firm’s SEC and regulatory compliance programs, oversees enterprise risk management including cybersecurity and AI governance, and supports quality systems across the firm and its portfolio of health and wellness brands. At the portfolio level, she also oversees the compliance program providing oversight in FDA and FTC compliance.

Ms. Vairavan has over 14 years of experience in regulatory compliance that includes interaction with federal and state regulators, handling regulatory filings, managing quality systems, ensuring codes of ethics, audits and contracts. Ms. Vairavan also spent over six years as a litigator at a leading legal services organization in New York City, where she successfully handled more than 200 cases. Her expertise includes civil litigation and contract law, and a broad range of matters relating to state and federal regulatory policies.

Ms. Vairavan is a practicing attorney, admitted to the bar of the State of New York and Authorized In-House counsel in the State of Florida.

WM Partners, LP, is a private equity firm focused on investing in health and wellness brands within fast-growing, fragmented, and defensive subsectors of the natural consumer health industry. The firm targets lower-middle market companies, primarily in North America, and seeks buyout and majority control investments. WM Partners creates value through its in-house operating team and deep industry expertise.

Jamie Lynn Walter, Chair of the Investment Funds — Regulatory Strategy group, advises clients on a wide range of complex legal, regulatory, and compliance matters across the asset management industry. Her practice focuses on SEC regulation of investment advisers and private funds.

Jamie draws on extensive public and private sector experience to help investment managers and other financial institutions navigate all aspects of SEC regulatory and compliance matters, with an emphasis on issues arising under the Investment Advisers Act and the Investment Company Act. As a former regulator, Jamie offers valuable insights into the SEC, including its policies, procedures, operations, and processes. She focuses on providing clients creative solutions to navigating the challenging regulatory landscape.

Jamie’s areas of expertise include SEC examinations and enforcement investigations, investment adviser registration and ongoing compliance matters, private fund formation and structuring, M&A and IPO transactions involving asset managers, family office considerations, GP-led secondaries, minority stake transactions, and management team spin-outs.

Over the years, Jamie has served as lead counsel to several of the world’s largest asset managers and has successfully counselled clients through numerous complex SEC examinations and enforcement investigations, oftentimes resulting in examinations closed with no deficiencies or comments.

Prior to joining Latham, Jamie served as Senior Counsel in the Private Funds Branch of the US Securities and Exchange Commission’s Division of Investment Management. While at the SEC, she was responsible for providing significant legal guidance on a wide range of matters involving investment advisers and investment funds, including private funds, mutual funds, and exchange traded funds. She also worked closely with the SEC’s Division of Enforcement and Division of Examinations on examinations and enforcement investigations.

Jamie regularly engages in thought leadership on key issues concerning investment advisers and private funds and is a frequent speaker for leading industry conferences.
She has been an adjunct professor at Howard University Law School since 2018, where she teaches a course on private equity and hedge fund regulation.

Jamie also served as a law clerk to Judge Jacques L. Wiener, Jr. on the Fifth Circuit.

Latham & Watkins delivers innovative solutions to complex legal and business challenges around the world. Latham’s preeminent Investment Funds Practice draws on deep experience and global reach to advise the world’s most sophisticated fund sponsors and investors. We work across the full spectrum of private capital managers, serving as long-standing advisors to many of the most well-established global PE firms and asset management firms. We leverage our global platform to provide funds clients with unique insights into the evolving regulatory and market environments in which they operate and regularly advise asset managers on complex and novel legal and regulatory issues.

Drew Weilbacher is the Chief Compliance Officer at TSG Consumer Partners. Drew is responsible for administering TSG’s global compliance and enterprise risk programs. Prior to joining TSG, Drew was co-head of the private fund practice at Promontory Financial Group. Previously, Drew served as a Senior Specialized Examiner in the Division of Examinations at the Securities and Exchange Commission where he conducted examinations of private fund advisers throughout the country. He holds a BA in Philosophy, with honors, from the University of California, Los Angeles. Drew joined TSG in 2021.

TSG Consumer Partners, LP is a leading private equity firm with approximately $20 billion in assets under management that partners with founders and management teams to build and accelerate growth for best-in-class consumer-facing businesses. Since its founding in 1986, TSG has been an active investor in the consumer industry. Representative past and present partner companies include Backcountry, Canyon Bicycles, Duckhorn, Dutch Bros, e.l.f. Cosmetics, IT Cosmetics, Joe Hudson’s Collision Centers, Mavis Tires, Planet Fitness, popchips, Power Stop, Radiance Holdings, REVOLVE, Revolut, Robinhood, Rough Country, Smashbox, Super Star Car Wash, Stumptown, The Wrench Group, Thrive Pet Healthcare, and Vitaminwater.