Richard Stein Email and Phone Number
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Richard Stein personal email
I am a solutions oriented attorney with extensive experience in general corporate matters, as well as in the real estate, finance, and banking industries.I was inspired to go to law school, after working for family’s business, with the goal of assisting non-legal professionals to navigate their legal concerns. There, I gained deep familiarity with common legal concerns of business owners, an appreciation of the need for legal advice to be conveyed clearly, and an understanding that how legal advice can be implemented is a critical part of any legal analysis. In my current position at Partners Group (USA) Inc., I have reviewed and drafted numerous commercial documents and assisted the company in navigating our agreements' operational impacts.I acted as lead counsel on the launch of the first-ever open-ended private debt fund to be managed as a plan assets vehicle under ERISA.I also coordinated with a multinational team to compile new operations procedures as needed to comply with ERISA under these highly unique circumstances. Additionally, I worked closely with our non-legal professionals to ensure they knew of the relevant legal issues to implement those procedures effectively.Further, I worked closely with our tax team to structure the legal entities to be used in loan originations in the most tax-efficient manner possible. Lastly, I drafted all the contracts necessary to launch this product and portions of the marketing materials to be used in our sales efforts.Before my time at Partners Group (USA) Inc., I was outside counsel to energy companies at Gleaton Doumany LLP and as contract counsel with Nygard Advisors, LLC.The projects I worked on varied and included the sale of a commercial office building, as well as drafting commercial real property leases, master services agreements, and intellectual property assignment agreements.Earlier in my career, I also worked as a foreclosure litigator where I reviewed several thousand mortgages, promissory notes, and title reports gaining deep insight into the loan origination process. Additionally, I gained a strong background in land use controls, real estate law, and administrative law through my internships and course work at Brooklyn Law School.
Marsico Capital Management
View- Website:
- marsicocapital.com
- Employees:
- 28
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Marsico Capital ManagementDenver, Co, Us
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Senior CounselMarsico Capital Management Oct 2021 - PresentUs• Draft and review regulatory filings for a registered investment advisor, five mutual funds, and one private placement submitted to the SEC, including forms ADV, 13g, and 13h, as well filings submitted to regulators in Canada.• Draft and review various vendor contracts, including contracts with brokerage firms and IT service providers.• Draft and review compliance policies, including policies related to Rule 18f-4.• Draft and review corporate policies, including policies related to paternity leave, military leave, sick leave under emergency provision related to the COVID-19 pandemic, and paid time off.'• Draft and review corporate governance documents, including minutes for valuation committees and trade management oversight committees, as well as consents to action.• Review and edit marketing documents targeting retail and institutional investors.
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Structuring Professional/ Fund Formation AttorneyPartners Group (Usa) Inc. Jun 2019 - Sep 2021• Drafted and reviewed various contracts, regulatory filings, and marketing materials for private markets investment companies including private placement memorandums, limited partnership agreements, limited liability company agreements, subscription agreements, investment management agreements, letter agreements, third party service provider contracts, applications to register funds for marketing in foreign jurisdictions, and presentations on the tax treatment of different entity structures.• Acted as lead counsel on the formation and administration of one of the first ever open-ended private debt funds managed as a plan assets vehicle pursuant to ERISA. Coordinated across numerous teams in various nations to create an operational framework to assure compliance with ERISA. Drafted private placement memorandums, limited liability company agreements, subscription agreements, investment management agreements, and compliance policies.• Acted as lead counsel on the formation and ongoing administration of four closed-ended private equity funds investing in secondary investments and four closed-ended private infrastructure funds investing in direct investments. Drafted private placement memorandums, limited partnership agreements, subscription agreements, and investment management agreements.• Acted as lead counsel on the administration of five closed-ended private real estate funds investing in direct investments (one of which is managed as a real estate operating company exempt from ERISA and another of which is structured as a real estate investment trust). Drafted amendments to various agreements, Board of Director resolutions, communications to investors, and communications to Advisory Boards.• Worked with various teams to compile policies which can be efficiently implemented to assure compliance with regulations.• Advised boards of directors and advisory boards on contractual and corporate governance matters.
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AssociateGleaton Doumany Llp (Firm Dissolved May 2019) Oct 2018 - May 2019• Prepared, reviewed, and revised transactional and operational documents in the oil and gas and commercial real estate industries including agreements related to the sale of a commercial office building in North Dakota, master services agreements, rights of way and easements, assignments of net profit interests in oil and gas leases, release and settlement agreements, post-closing agreements, payment demand letters, and bills of sale.• Reviewed section abstracts of title for surface and mineral ownership and drafted drilling and division order title opinions covering lands in Wyoming, Texas, and Colorado, including federal and fee lands with multiple depth breaks.• Prepared ownership spreadsheets detailing surface, mineral and leasehold ownership interests in various tracts and oil and gas formations. Utilized deed plotter software to locate lands based upon metes and bounds legal descriptions.
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Contract CounselFreelance Attorney Dec 2016 - Oct 2018• Reviewed, revised, and drafted various contracts including non-disclosure agreements, non-compete agreements, statements of work, arbitration agreements, employment agreements, consulting agreements, master services agreements, leases for industrial equipment, commercial real property leases, and intellectual property assignment agreements.• Reviewed, revised, and drafted company formation documents, operational documents, and restructuring documents, including corporate policies, by-laws, articles of incorporation, board and shareholder resolutions, certificates of merger and contracts relating to corporate mergers and acquisitions, and foreign registration filings.• Advised on taxation of various business entity types under New York City municipal codes.• Presented oral arguments on motions, orders to show cause, and in mediation conferences.• Worked primarily with Nygard Advisors, LLC, of Denver, CO as well as Pulvers Pulvers & Thompson LLP, Baybrent Tile Corp., and Legacy Tile Corp. located in Long Island, NY.
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Staff AttorneyGemini Fund Services, Llc (Subsequently Merged Into Ultimus Fund Solutions Llc) Jun 2014 - Dec 2016• Reviewed and drafted various documents filed with the Securities and Exchange Commission (“SEC”) on behalf of 160 mutual funds, exchange traded funds, variable insurance trusts, and closed-end funds, managing approximately $22 billion, including prospectuses, summary prospectuses, statements of additional information, proxy filings, form ADVs, and 497e sticker filings.• Compiled Board materials and took shareholder and Board meeting minutes.• Drafted formation documents and corporate governance documents for pooled invested vehicles.• Contributed to drafting of office policies and procedures implemented to assure compliance with securities regulations.• Developed strong expertise in the Securities Act of 1933 and the Investment Company Act of 1940.• Acted as lead counsel on various projects including:o The launch of a series trust of mutual funds managing $375 million. Reviewed all service provider contracts and SEC filings necessary to create the corporate entities of each constituent fund;o The formation of a closed end fund with $22 million under management open only to “Accredited Investors.” Reviewed subscription materials to be used in screening investors to assure compliance with federal regulations regarding Accredited Investors. Reviewed various other contracts and SEC filings; ando The change of control of the Huntington Funds, a series trust of eight mutual funds, and its rebranding as the Mutual Fund and Variable Insurance Trust. Reviewed documents submitted to shareholders and the SEC and reviewed contracts necessary to effectuate that transition.• Managed three paralegals to effectively focus collective efforts toward servicing our clients.
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AttorneyClarfield, Okon, Salomone, And Pincus, P.L. Oct 2013 - Jun 2014• Represented major lending institutions, including Ocwen Loan Servicing, LLC in foreclosure mediation and litigation.• Monitored compliance with court directives on approximately 30 cases escalated as matters in which clients had high potential of incurring court imposed sanctions; no sanctions were imposed with regard to any of those files.• Managed a staff of three paralegals compiling materials for review by attorneys in preparing oral arguments; advised junior attorneys with regard to their oral arguments.• Drafted various litigation documents, argued motions before the court, and appeared in settlement and compliance conferences.
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AttorneyStein, Weiner, And Roth, Llp Dec 2011 - Oct 2013• Represented major lending institutions, including Wells Fargo Bank, N.A. in foreclosure mediation and litigation.• Drafted various litigation documents, argued motions before the court, and appeared in settlement and compliance conferences.• Reviewed several thousand ongoing cases transferred to our office, informed senior attorneys as to errors in the prosecution of those actions, and advised as to which steps should be taken to rectify those matters.
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InternNew York State Office Of The Attorney General Aug 2010 - May 2011• Researched and drafted administrative decisions on issues of securities regulations, contract law, and real estate law, many of which resulted in awards in excess of $1,000,000 in damages.• Reviewed real estate sales contracts to assure sellers complied with obligations thereunder.• Reviewed Public Offerings to assure compliance with the Martin Act which is New York’s blue sky law.• Was selected as the sole intern (fall 2011) to stay on for the spring to assist in training the incoming intern class.
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InternEric Palatnik P.C. May 2010 - Aug 2010• Researched recent changes in real estate law, land use controls, and municipal regulations.• Drafted applications for zoning variances and special use permits.• Assisted senior attorneys in preparing for oral arguments before courts and regulatory bodies.
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InternBls Legal Services Corp. - Community Development Clinic Jan 2010 - May 2010• Researched and drafted legal memorandum for clients, including New York City Council Member Brad Lander, on topics including for-profit and non-profit corporate law, corporate governance, tax issues, and land use controls.• Drafted articles of incorporation, corporate by-laws, and tax exemption applications for charitable corporations.
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InternKings County District Attorney’S Office Aug 2009 - Dec 2009• Researched and drafted motions and legal memorandum on topics including, criminal law, criminal procedure, and evidence.
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InternHonorable Thomas Phelan, Nassau County Supreme Court May 2009 - Aug 2009• Researched and drafted judicial decisions involving issues of contract law, torts, and civil procedure.
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InternTown Of Babylon Planning Department May 2006 - Aug 2006• Created databases using ARCH Map program, utilized in zoning decisions; formulated hazard mitigation plans to relieve the immediate needs of victims of natural disasters.
Richard Stein Education Details
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Brooklyn Law SchoolReal Estate -
Lehigh UniversityUrban Studies/ History
Frequently Asked Questions about Richard Stein
What company does Richard Stein work for?
Richard Stein works for Marsico Capital Management
What is Richard Stein's role at the current company?
Richard Stein's current role is Solutions oriented corporate and securities attorney.
What is Richard Stein's email address?
Richard Stein's email address is ri****@****oup.com
What schools did Richard Stein attend?
Richard Stein attended Brooklyn Law School, Lehigh University.
Who are Richard Stein's colleagues?
Richard Stein's colleagues are Peter Marsico, Sonia Pianalto, Winston Lapham, Jack Quillin, Wade Dinels, Amanda Macaluso, Kevin Shields.
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