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Abel Ramirez is listed as Associate Legal Counsel at P10, Inc., based in Plano, Texas, United States. AeroLeads shows a matched LinkedIn profile for Abel Ramirez.
Abel Ramirez previously worked as Chief Operations Officer and Compliance Consultant at Adviser Solutions Group Llc and Practice Attorney at Akin Gump Strauss Hauer & Feld Llp. Abel Ramirez holds Doctor Of Law (Jd), Law from Smu Dedman School Of Law.
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P10, Inc.
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Profile bio
About Abel Ramirez
I am one of the co-founders of Adviser Solutions Group LLC. We provide outsourced regulatory compliance and operational process solutions to Investment Advisers within the traditional and alternative assets industries. Our firm was formed as a direct result of the increased quantity of regulatory enforcement actions over the past several years against Investment Advisers. Our goal was to create a team of experienced, client-dedicated professionals that would be committed to helping Investment Advisers deal with the ever-increasing compliance obligations in this challenging regulatory environment.I am a lawyer with a history of working in the investment management industry as both in-house and outside counsel. I have more than 10 years of experience developing and implementing compliance policies and procedures, and negotiating transactions on behalf of clients. I have also contributed to several industry publications, including the book Reading Law: The Interpretation of Legal Texts by Bryan A Garner and Associate Justice of the Supreme Court, Antonin Scalia.
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11 roles
Abel Ramirez work experience
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Chief Operations Officer And Compliance Consultant
CurrentImplement and monitor compliance programs for various Registered Investment Adviser clients. Draft, review, and regularly update policies and procedures. Review marketing presentations. Prepare and review periodic regulatory filings (e.g., Form ADV, Form PF, Form D, Blue Sky Filings, etc.).
Sep 2020 - Present
Practice Attorney
Practice focused on corporate and securities law and other transactional matters, with a concentration in the formation, structuring, management, compliance and operation of U.S. domestic and international private investment funds employing a variety of investment strategies.
Jun 2018 - Aug 2019
Compliance Counsel
Implemented and monitored compliance program for Registered Investment Adviser according to the compliance requirements of the Investment Advisers Act of 1940. Drafted, reviewed, and regularly updated policies and procedures. Reviewed firm-wide e-mails within compliance and other risk parameters. Reviewed marketing presentations and communications with prospective clients. Monitored pooled investment vehicles for prerequisites of Section 3(c)(1) and Section 3(c)(7) registration exemptions. Reviewed quarterly letters and customized client correspondence. Performed annual review of compliance program. Drafted non-disclosure agreements. Reviewed and edited outgoing data requested by clients for the purpose of preserving confidentiality concerns of third-party investment information or unaffiliated clients. Prepared and reviewed periodic filings (e.g., Form ADV, Form PF, Form D, Blue Sky Filings, etc.). Performed quarterly forensic testing in accordance with policies and procedures (expense, investment allocation, etc.). Maintained books and records. Drafted and reviewed all governing documents (limited partnership agreements, private placement memorandums, and investment advisory agreements) to document all pertinent confidentiality provisions. Researched potential conflicts of interest among the firm, employees, clients, and investments. Reviewed employee requests and provided authorization for employee equity trades. Conducted compliance training for new employees and for firm-wide compliance updates (including drafting of training materials).
Aug 2015 - Jun 2018
Associate Attorney
Contributed to various aspects of pre-trial hearing preparation for civil, criminal, and social security disability income cases. Researched issues regarding contract and social security law. Audited documents for relevant legal issues. Drafted, proofed, and edited pleadings.
May 2014 - Aug 2015
Law Clerk
Researched issues regarding securities, employment, real estate, and construction law. Interviewed clients. Drafted, proofed, and edited pleadings and real estate contract briefs.
Jan 2013 - May 2013
Student Attorney / Clinic Deputy
Smu Dedman School Of Law Civil Clinic
Clinic Deputy (Fall 2012)Elected by the Civil Clinic instructors to assist with training and supervising new Civil Clinic students regarding client representation. Assist students with all aspects of pretrial and trial advocacy including legal research, analysis, and writing, litigation training, and court appearances.Student Attorney (Summer 2012)Represented indigent clients and contributed to all aspects of pretrial and trial advocacy. Responsible for interviewing clients, case planning, discovery, negotiation, and drafting of pleadings, motions and memoranda.
May 2012 - Dec 2012
Research Assistant For Bryan A. Garner, Distinguished Research Professor Of Law
Smu Dedman School Of Law
Contributed research to Reading Law: The Interpretation of Legal Texts by Bryan A. Garner and Associate Justice Antonin Scalia. Drafted case briefs and bibliographies regarding various topics of statutory interpretation. Proofed, edited, and cite checked materials for publication.
Sep 2011 - May 2012
Legal Extern, Enforcement Division
Assisted Enforcement Division with investigations of industry and issuer practices. Monitored and assessed industry compliance with federal securities laws. Researched and summarized SEC enforcement actions.
Sep 2011 - Dec 2011
Portfolio Administrator
Rgt Wealth Advisors
Managed investment process. Executed stock and mutual fund trades in accordance with customer investment plan. Analyzed financial statements for client review.
May 2008 - Jan 2009
Inheritor Services Specialist
Fidelity Investments, Llc 2006-2008
Provided assistance to clients inheriting assets currently registered in retail accounts. Provided guidance to ensure that beneficiaries maximize their inheritance. Executed mutual fund trades and retirement distributions. Educated clients on account features, balances, transactions, distribution information, and cost basis.
Aug 2006 - May 2008
2 education records
Abel Ramirez education
Doctor Of Law (Jd), Law
Smu Dedman School Of Law
B.A, English; Creative Writing
Southern Methodist University
FAQ
Frequently asked questions about Abel Ramirez
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What company does Abel Ramirez work for?
Abel Ramirez works for P10, Inc..
What is Abel Ramirez's role at P10, Inc.?
Abel Ramirez is listed as Associate Legal Counsel at P10, Inc..
Where is Abel Ramirez based?
Abel Ramirez is based in Plano, Texas, United States while working with P10, Inc..
What companies has Abel Ramirez worked for?
Abel Ramirez has worked for P10, Inc., Adviser Solutions Group Llc, Akin Gump Strauss Hauer & Feld Llp, Jasper Ridge Partners, L.P., and The Zendeh Del Law Firm, Pllc.
How can I contact Abel Ramirez?
You can use AeroLeads to view verified contact signals for Abel Ramirez at P10, Inc., including work email, phone, and LinkedIn data when available.
What schools did Abel Ramirez attend?
Abel Ramirez holds Doctor Of Law (Jd), Law from Smu Dedman School Of Law.
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