Christopher Gilkerson Email & Phone Number

Design, Diligence, Duty, and Disclosure for innovative firms that defy easy categorization who are serious about their regulatory responsibilities. Almost thirty years of experience addressing a full range of fiduciary and compliance issues. Specialty areas include advisory program and entity start-up, Marketing Rule obligations, dual registration and other compensation models, business acquisition and integration, asset protection and custody, registration and disclosure, internal reviews… Show more Design, Diligence, Duty, and Disclosure for innovative firms that defy easy categorization who are serious about their regulatory responsibilities. Almost thirty years of experience addressing a full range of fiduciary and compliance issues. Specialty areas include advisory program and entity start-up, Marketing Rule obligations, dual registration and other compensation models, business acquisition and integration, asset protection and custody, registration and disclosure, internal reviews, ERISA obligations for retirement accounts, and digitalization of services. Show less

San Francisco Bay Area

Cutting edge and practical legal advice for Investment Advisers, FinTech firms, and others with innovative business models that cross boundaries in financial services. Clients are firms creating something new, designing disruptive businesses, or facing an unexpected regulatory challenge. Full suite of services include SEC and ERISA regulatory, digital and investment product counseling, entity formation, policy reviews, and drafting and negotiating all types of agreements.

California, United States

Advise founders and senior management of this innovative FinTech and asset management start-up that will revolutionize how wealth managers integrate and personalize tax efficient and sophisticated trading strategies for their clients. Compliance, legal, and strategic advice.

Santa Rosa, California, United States

Provide insights to founders and senior management on Illuminote's business and distribution strategy for its patent-pending registry system that enables customers to maintain digital control of their most important financial documents such as deeds, living trusts, wills, and POAs in a way that prevents fraud and allows perpetual easy access only to trusted parties.

San Francisco, California, United States

Supervised team of 30 attorneys and provided enterprise legal support for retail distribution, investment products, brokerage operations, e-business and digital channels, services for independent registered investment advisors, international, retirement plan services, and affiliated RIAs.

Washington D.C. Metro Area

Head of market regulation review in the Office of Legal Policy, Office of General Counsel. Made recommendations regarding proposed enforcement actions and rule making, including market structure reform and broker-dealer and investment adviser regulation.

Washington D.C. Metro Area

Doctor Of Law (J.D.)

Activities and Societies: Essays Editor, Yale Law Journal; Co-founder, Lowenstein Human Rights Law Clinic; Director, Lowenstein Human.

B.A., Political Science, Summa Cum Laude

Activities and Societies: Founder and President, Buckeyes for UNICEF; President, Pi Sigma Alpha; Phi Beta Kappa; Mortar Board