Thoreau A. Bartmann

Thoreau Bartmann is a partner and member of the Asset Management and Investment Funds practice. He has more than 20 years of experience as an investment management lawyer at the United States Securities and Exchange Commission (SEC), included serving as co-chief counsel of the Division of Investment Management. He has a deep well of experience on a wide array of asset management issues, and advises clients on regulatory, enforcement, and compliance matters. He brings with him a knowledge of rulemaking, cross-border regulatory engagement, digital assets, AML, private fund issues, and fund governance, as well as an intimate understanding of the Investment Advisers Act, the Investment Company Act, and securities enforcement. At the SEC, he also served as a branch chief for the rulemaking office, where he led the adoption of the Adviser Marketing Rule and the Fund Fair Valuation and Liquidity rules. He also held the position of senior policy advisor to the head of the asset management unit of the Division of Enforcement, evaluating and providing guidance on asset management cases brought to the Commission.

With a career as a trusted adviser to commissioners, senior executives, and global regulators, he is equipped to guide clients through new rules, exams, and investigations. He has the breadth and depth of a career rooted in rulemaking perspectives and enforcement pragmatism. Based in Washington, DC, his regulatory, policy, and enforcement insights can serve as clear and actionable guidance of the regulatory landscape to asset managers, registered funds, private funds, and fintech innovators.