Dan Mitchell Email & Phone Number

Boston, Ma, Us

Portsmouth, New Hampshire, Us

•Oversee operations, compliance and legal functions for a $2B AUM investment advisor managing hedge funds, mutual funds, and separately managed accounts, ensuring best business execution.•Review legal and compliance matters across the organization. •Identify, assess, and mitigate operational, compliance, cybersecurity, and competitive risks. Lead in enhancing and developing firm risk management policies and procedures and internal controls.•Spearhead the launch of new investment products, including mutual funds and hedge funds, managing the full lifecycle from inception to execution. •Negotiate with third-party service providers, including drafting and reviewing key contracts such as triparty trading agreement, prime broker and fund services agreements.•Conduct thorough due diligence on potential acquisitions and manage RFI/DDQ inquiries from institutional clients, ensuring alignment with strategic goals.•Advise Board of Trustees for 40 Act mutual funds on operational, regulatory and compliance matters including 15(c) review.

Portsmouth, New Hampshire, Us

•Directed legal and compliance functions as Chief Compliance Officer and General Counsel, led a compliance team dedicated to ensuring adherence to regulatory requirements and best practices across firm operations. •Developed, implemented, and managed the firm’s Compliance Program under SEC Rule 206(4)-7, ensuring robust compliance with all applicable securities laws.•Reviews of compliance policies, updating the Code of Ethics, operational and risk policies, and analyzing the effectiveness of internal controls. Prepared the firm’s 206(4)-7 annual review report.•Conducted regular compliance testing and monitoring to assess the effectiveness of policies and internal controls, mitigating compliance risk.• Designed and implemented comprehensive compliance and Code of Ethics training programs for employees•Advised on legal matters across departments, ensuring that all business activities remained in compliance with regulatory frameworks.•Reviewed and approved firm marketing and advertising materials, ensuring compliance with SEC/FINRA rules, including pitchbooks, fact sheets and whitepapers. •Negotiated agreements including third party service provider agreements, trading, NDAs and employee agreements.•Managed regulatory filings such a Form ADV, Form D and Form PF, respond to FINRA and SEC inquiries and examinations, and addressed any issues or deficiencies identified.

• Leadership in Legal & Compliance: Managed legal and compliance functions for Claragh Mountain Investments ensuring regulatory compliance and mitigating legal risk across the firm’s operations.• Compliance Program Development: Developed, implemented, and maintained comprehensive compliance and policies and procedures based on SEC Rule 206(4)-7.• Compliance Manual Creation: Drafted and maintained the firm’s Policy and Procedures Manual and Code of Ethics made updates to ensure continued compliance and operational effectiveness.• Annual Compliance Review: Led the annual review of compliance policies, operational and risk policies, and internal controls. Analyzed compliance risks and drafted annual compliance review report.• Fund Documentation & Due Diligence: Reviewed key hedge fund formation documents in new hedge fund launch• Employee Training & Compliance Culture: Led ongoing training programs for employees and partners on legal and compliance matters, fostering a strong culture of compliance. Conducted compliance testing including best execution.

• Legal & Compliance Oversight: Managed legal, compliance, and operational functions for a family investment office, ensuring adherence to applicable laws and internal policies.• Contract Negotiations: Led negotiations and drafted contracts with third-party service providers, securing favorable terms while mitigating risk.• Due Diligence & Investment Analysis: Conducted due diligence on prospective private investments, including reviewing term sheets, business agreements, and potential legal risks.

Us

• Legal & Compliance Advisory: Provided legal and compliance advice to senior management, ensuring regulatory adherence and mitigating legal risks for the firm’s private equity investments and operations.• Regulatory & Compliance Response: Developed and managed responses to state and federal agencies on compliance and regulatory issues, including investigations related to the Fund. Monitored legal and regulatory developments affecting the Fund’s operations and advised the firm on necessary actions.• Fund Document Review & Updates: Reviewed and revised fund offering documents, and other key documentation. • Winddown & Liquidation Coordination: Coordinated with outside counsel on the winddown and liquidation of the Funds, ensuring all legal and regulatory requirements were met throughout the process.

• Compliance & Policy Development: Developed, implemented, and managed investment manager compliance and operational policies and procedures for a startup hedge fund ensuring regulatory adherence and operational efficiency.• Fund Document Revisions: Led revisions of Fund offering documents, corporate structures, and partnership agreements for fund launch.• Compliance Manual & Code of Conduct: Drafted the fund’s Compliance Manual and Code of Professional Conduct, establishing a strong foundation for firm compliance.• Contract Review & Negotiation: Reviewed and negotiated a range of agreements, including employee/consultant contracts, non-disclosure agreements, and third-party service provider contracts to mitigate legal and financial risks.• Marketing & Investor Communications: Reviewed Fund pitchbook, marketing materials, offering memoranda, and investor communications to ensure compliance with regulatory standards and accurate representation of the fund's performance and risks.• ISDA & Prime Brokerage Agreements: Negotiated ISDA (International Swaps and Derivatives Association) agreements and prime brokerage (PB) agreements, ensuring compliance and protecting the firm’s financial interests.

J.D.

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