Garret Filler Email & Phone Number

United States

• At Cole-Frieman & Mallon (2022-present): (i) I work on the formation and launch of hedge funds, private equity funds, and venture capital funds and their managers; (ii) I provide advice regarding registration, compliance issues, and regulatory inquiries and examinations; (iii) I assist clients in respect of transactions and trading and credit agreements, including ISDA, repo, and prime brokerage; and (iv) I draft and negotiate agreements for the onboarding and offboarding of fund personnel.• At Fried Frank (2016-2019), I represented Goldman Sachs in forming and investing in hedge funds, funds-of-funds, and private equity funds, and represented BlackRock in establishing and implementing carried interest and bonus arrangements.• At Cadwalader (1993-1997), my asset management clients included Soros, Tudor, Moore, and D. E. Shaw, and my investment bank/dealer clients included Morgan Stanley, J.P. Morgan, Lehman Brothers, and Bear Stearns.

Allometrics constructs new state lottery games whose prize payouts would be supported not just by ticket sales but also by securitizations and closed-end funds that it would manage. Because the returns of those vehicles would be a function of the play of lottery games, they would be uncorrelated to the returns of other asset classes and have certain uniquely calculable risks.

• Fund strategies, including long/short equity, stat arb, convertible arb, mortgage-backed securities (MBS), collateralized debt obligations (CDOs), whole loans, commercial real estate (CRE) debt, rates, and emerging markets.• Registration of fund managers, including as an investment adviser (RIA), commodity pool operator (CPO), and commodity trading advisor (CTA).• Compliance policies and procedures, including with respect to material non-public information (MNPI), anti-money laundering (AML), best execution, cybersecurity, privacy, proxy voting, valuation, “Bad Actor” certification, trade errors, trade allocation, intercompany transactions, AIFMD, lobbyist registration/pay-to-play rules, allocation of expenses between manager and funds, personal trading, gifts and entertainment, political contributions, and outside activities.• Regulatory examinations and inquiries, including by several divisions of the Securities and Exchange Commission (SEC), the Commodity Futures Trading Commission (CFTC), the National Futures Association (NFA), the Cayman Islands Monetary Authority (CIMA), and state attorneys general.• Litigation, including the prosecution and defense of multi-million dollar claims.• Deal documents, including term sheets, confidentiality/non-disclosure agreements, and direct investment documentation.• Financing and trading arrangements, including Master Repurchase Agreements (MRAs), Global Master Repurchase Agreements (GMRAs), Master Securities Forward Transaction Agreements (MSFTAs), and ISDA agreements; and Prime Broker (PB), Futures Commission Merchant (FCM), and Cleared Derivatives Execution Agreements (CDEAs).• Employee matters, including background checks, employment agreements (covering non-compete, non-solicit, non-poach, and non-disclosure matters), and departure/separation agreements.• Investor materials, including pitch decks, marketing materials, investor presentations, due diligence questionnaires, side letters, and subscription documents.

B.S., With Distinction (Highest Honors), Applied Economics And Management

Doctor Of Law (J.D.)

Law Clerk for The Honorable Thomas J. McAvoy of the U.S. District Court for the Northern District of New York