Richard Guidice

Partner at Kleinberg Kaplan

Speaker

Richard Guidice advises both start-up and established private investment funds, as well as private fund managers, registered investment advisers, commodity pool operators, broker-dealers, family offices and other financial institutions on regulatory and strategic issues related to their formation, structure and operation.

Richard also has extensive experience counseling family offices, foundations, private and public pension plans, and other LP-side investors regarding their unique structuring, diligence and legal concerns with respect to their investments in alternative asset classes.

His practice encompasses forming and structuring domestic and offshore fund vehicles, registering investment advisers and broker-dealers and drafting and negotiating a wide range of management, employment and service provider agreements. Richard also designs and monitors customized compliance programs, advises on regulatory obligations before the SEC, CFTC, FINRA and NFA, counsels clients through regulatory examinations and guides acquisitions and sales of financial services businesses.

Richard received his J.D., from Fordham University School of Law, where he was a member of the Fordham Urban Law Journal, and his Bachelor of Science, summa cum laude, from St. John’s University.