Greg Ewald Email & Phone Number

Richmond, Virginia, United States

Responsible for leading the legal, risk, compliance, records management and corporate secretary functions.

Richmond, Virginia

Cleveland/Akron, Ohio Area

Responsible for all legal, compliance and enterprise risk matters for an asset management firm sold by KeyBank to Crestview Partners. Primary responsibilities included the following:- Participated in strategic and management decisions as a member of the senior management;- Served on the Board of Directors of the Registered Investment Adviser and the Broker-Dealer;- Served as the corporate Secretary with primary responsibility for corporate governance matters;- Advised the CEO, CFO and Board on all legal, compliance, litigation, risk, regulatory, governance, and transactional matters, including significant acquisitions;- Responsible for negotiating and drafting various commercial agreements and M&A transactions;- Managed the comprehensive compliance program (including review of marketing materials) for registered investment adviser and registered broker-dealer and interfaced with regulators;- Provided advice on securities laws including the Investment Advisers Act of 1940, the Investment Company Act of 1940 and FINRA rules;- Managed all employment and intellectual property matters; and- Prepared the budget for all legal expenditures and managed all outside counsel.• Key Accomplishments. Played a key role in negotiating and executing M&A transactions that grew assets under management from $17 billion to over $50 billion in three years. Designed, implemented and managed a comprehensive legal, compliance and enterprise risk program and integrated acquired companies.

Charlotte, North Carolina Area

Provide business advisory services for emerging growth companies and investment funds.

Charlotte, North Carolina Area

Responsible for all legal, compliance and enterprise risk matters for a newly formed, innovative financial services company (and its $2 billion publicly traded fund) founded by Bank of America and Oak Hill from shortly after formation and through its sale. Primary responsibilities included the following:- Participated in strategic and management decisions as a member of the senior management team;- Advised the CEO, CFO and Board of Directors on all legal, compliance, risk, regulatory and governance matters;- Developed and managed a comprehensive risk and compliance program with policies and procedures for the investment manager and the publicly traded fund (including European compliance matters);- Reviewed and prepared disclosure and public company periodic reports and filings for public fund;- Negotiated investments, asset acquisitions and M&A transactions;- Advised on existing laws and pending developments affecting the business in the U.S. and Europe;- Responsible for corporate governance matters and served as Secretary to the Board; and- Prepared the budget for all legal expenditures and managed all outside counsel.• Key Accomplishments. Along with the CEO and CFO, led the company through a successful sales process. Led the company through the registration process to become a registered investment adviser. Successfully mitigated litigation, compliance and regulatory risks. Completed numerous transactions to grow business.

Washington D.C. Metro Area

Built a diverse international and domestic corporate and securities practice serving as outside general counsel to private equity and venture capital firms, as well as private and public technology companies, financial services firms, manufacturing companies, life science companies, telecommunications companies and non-profit organizations on a variety of legal issues, including:- Domestic and international M&A, joint ventures and strategic alliances;- Public and private financings, private equity and venture capital investments, bank financings and other transactions (including IPOs and secondary offerings);- Intellectual property transactions (e.g., strategic alliances and license agreements) and advice;- Commercial contracts and technology transactions;- Public company governance and securities advice, including SEC reporting under the Securities Act of 1933 and the Securities Exchange Act of 1934 and other securities laws;- Corporate governance matters (including acting as company secretary) and internal investigations (including advising boards of directors);- Regulatory and compliance matters (including interacting with the SEC and other regulators); and- Litigation management and strategy (including responding to regulatory inquiries, managing the discovery process and advising boards of directors).

Lincoln, Nebraska Area

Greater Denver Area

Tokushima, Japan

Developed and implemented international public relations programs and promotional initiatives, including: trade shows; cultural, educational and athletic international exchange programs; marketing materials; newsletters; and cultural events.

Jd, Law

Activities and Societies: Order of St. Ives• Leonard v.B Sutton Award (and scholarship) for best law review article on an international.

Bachelor Of Arts (B.A.), History, Cum Laude

Activities and Societies: Phi Beta Kappa• Phi Beta Kappa • Thematic Minor in East Asian Studies • Studied international business.

Education record