Head of U.S. Financial Regulation Group, Financial Regulation and Investment Funds Partner, New York
Brad holds a Juris Doctor from Boston College Law School and obtained his undergraduate degree magna cum laude, from Georgetown University.
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New York
Brad’s practice extends across the spectrum of U.S. structuring, operational, regulatory, compliance and risk matters for private funds and global alternative asset managers. He advises clients on the full lifecycle of their businesses, spanning advisory, transactional and enforcement related work, and brings a commercial, solutions focused approach to complex issues.
Brad counsels global investment managers, placement agents and private fund sponsors across a broad range of alternative investment products, including hedge, private equity, credit and real estate funds and strategies. His work spans across key focus areas including registration and exemptions, capital raising and marketing, effective compliance policies and procedures, conflicts of interest, insider trading, cybersecurity, digital assets, AI, anti money laundering and sanctions. He regularly acts as regulatory counsel to investment managers in SEC examinations and enforcement matters. Brad also advises clients on fund formation, sponsor level transactions and asset management M&A transactions, including advising on regulatory risk due diligence, integration and post transaction operations and compliance.
Brad acts as a single point of trusted fund and regulatory counsel, bringing a practical perspective informed by over a decade of in house experience, including serving as General Counsel and Chief Compliance Officer of a large private fund manager in the U.S. and Hong Kong and as counsel at Goldman Sachs.
Brad Caswell is ranked by Chambers for Investment Funds: Regulatory & Compliance (USA, Nationwide). Chambers recognizes him as a trusted adviser to asset managers and private funds on U.S. regulatory and compliance matters, noting his subject matter expertise, practical judgment and efficiency, with clients describing him as “a true partner” and “a subject matter expert in the asset management regulatory space.”
Brad is a frequent speaker and writer on the topics of fund operations and regulatory compliance. He has presented on a wide array of regulatory/compliance matters critical for global financial institutions and private fund managers, including formation and structuring for funds and separately managed accounts, key US regulatory developments and horizon scanning, registration and exemptions, conflicts of interest, insider trading, investment allocation, co-investments, fees and expenses, custody, valuation, capital raising and marketing, cybersecurity, AI, digital assets, AML and sanctions to name a few.
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