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551 Fifth Avenue, 18th Floor
New York, NY 10176




Richard Guidice focuses his practice on the financial services industry, with an emphasis on investment management and securities law. Richard regularly advises both start-up and established private investment funds, as well as private fund managers, registered investment advisers, commodity pool operators, broker-dealers, family offices and other financial institutions on regulatory and strategic issues related to their formation, structure and operation. He also has extensive experience counseling family offices, foundations, private and public pension plans, and other LP-side investors regarding their unique structuring, diligence and legal concerns with respect to their investments in alternative asset classes.

In particular, Richard spends a significant portion of his practice:

  • Forming and structuring domestic and offshore hedge funds, private equity funds, real estate funds and other investment vehicles
  • Forming and registering investment advisers and broker-dealers
  • Drafting and negotiating various agreements, including management company ownership agreements, managed account agreements, employment agreements, and agreements with prime brokers, administrators, subadvisors, marketers, consultants and other service providers
  • Assisting clients with designing, implementing and monitoring customized compliance programs, and providing related training to employees
  • Advising clients concerning regulatory compliance, including SEC filing and reporting obligations, soft-dollar arrangements and blue sky compliance
  • Counseling clients through SEC, CFTC, FINRA, NFA and state regulatory examinations and inquiries
  • Advising commodity pool operators and commodity trading advisors on registration and compliance obligations under CFTC and NFA regulations
  • Counseling clients on acquisitions and sales of investment advisers and other financial services businesses


Fordham University School of Law (J.D., Dean's List, 2003)
Fordham Urban Law Journal, Associate Business Editor
St. John's University (B.S., summa cum laude, 2000)


New York
New Jersey
United States District Court for the District of New Jersey


Pay-To-Play: Don’t Get Caught Out This Election Season
Speaker, Sponsored by Fund Intelligence, July 2016

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